Compliance Manager - AMC
- 5-10k depends on candidates experience
- Singapour, Singapore
- CDI, Plein-temps
- 14 sept. 17
Our client is a large Traditional Asset Management Company from Europe. AUM> 3 Billion USD, excellent track record. We are searching for a good Compliance Manager.
A Job Description:
- Initiates, maintains, and revises policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct
- Develops and periodically reviews, and updates Standards of Conduct to ensure continuing currency and relevance in providing guidance to management and employees
- Collaborates with Directors and employees, and provide advice for any questions regarding applicable policies, regulation and rules or any compliance issues
- Provide appropriate training to employees on procedures, policies and applicable regulations
- Develops process for uniform handling of violations of rules, regulations, policies, procedures, and Standards of Conduct
- Acts as an independent review and evaluation body to ensure that compliance Issues/concerns within the organization are being appropriately evaluated, investigated and resolved
- Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues
- Provides reports on a regular basis, and as directed or requested, to keep the Corporate Compliance Committee of the Board and senior management informed of the operation and progress of compliance efforts.
- Ensures appropriate reporting for compliance issues to senior management, Corporate Compliance and regulators
- Monitors the performance of the Compliance Program and relates activities on a continuing basis, taking appropriate steps to improve its effectiveness.
- Ensure an appropriate follow up on regulation changes and update the compliance program accordingly
- Liaise with lawyers to follow up corporate topics for the local entity, local requirements on asset management activities, introduction of local contracts with third parties
- Provide assistance to the headquarters for various agreement in relation to regional activities of the entity (i.e. distribution, research etc)
- Minimum degree in law or finance, with minimum 4 years’ experience in a compliance department or legal department in investment services
Please send in your resume in MS word format to firstname.lastname@example.org.