Compliance Manager

Job Description

Keeping Abreast of Regulatory Changes, Provision of Compliance Advisory and Support to Business

• Ensure prompt and effective communication of regulatory requirements, licensing matters, upcoming regulatory changes including changes to regulatory investment restrictions, group and local compliance policies to management, business heads and staff.
• Support the evaluation of the potential commercial and/or operational impact resulting from specific regulatory changes or legislations which affects business compliance arrangements, procedures, processes and awareness.
• Keep abreast of regulatory developments in Singapore, including gathering and providing feedback on public consultation papers to the Monetary Authority of Singapore.
• Lead communications with regulators and assist in responding to the day-to-day requests from external and internal auditors on regulatory/ compliance matters.
• Maintain local compliance manuals which are in line with Group policies as well as international best practices and relevant regulatory requirements.
• Review legal agreements from compliance’s perspective.
• Conduct in-house training for staff e.g. induction, staff personal dealing, licensing, regulatory requirements etc.

Licensing Matters and Monitoring of Licensing Conditions for aAL and its Subsidiaries

• Handle and liaise with staff and regulator on licensing matters
• Monitor compliance of licensing conditions for aAL and its subsidiaries
• Monitor regulatory compliance for Korea entity

Code of Ethics & Personal Account Dealing

• Provide advisory, monitoring and oversight on Personal Account Dealing and Conflicts of Interest, including Outside Business/ Employment

Product & Distribution- Review of Marketing Materials & Compliance Advisory of Cross Border Activities

• Review of marketing materials to ensure compliance with regulatory requirements, including due diligence and RFPs
• Provide advisory on cross border activities to business and guidance to APAC Compliance Teams

Management Reporting

• Support compliance reporting to senior management, headquarters etc

Regulatory filing and due diligence requests

• Perform regulatory filing
• Assist with compliance related due diligence requests from clients and internal stakeholders

Compliance Monitoring

• Work with the Monitoring & Oversight team to complete reviews and tests on regulatory hotspots

Team support

• Provide support to the Head of Compliance - Singapore
• Provide guidance and mentorship to junior team members

Ad Hoc

• Work on special projects as and when assigned
• Provide compliance support for other regions beyond Singapore (as the regional hub) where required
• Cover other team members when other team members are out of office

We’re committed to providing an inclusive workplace where all forms of difference are valued and which is free from any form of unfair or unlawful treatment. We define diversity in its broadest sense – this includes but is not limited to our diversity of educational and professional backgrounds, experience, cognitive and neurodiversity, age, gender, gender identity, sexual orientation, disability, religion or belief and ethnicity and geographical provenance. We support a culture that values meritocracy, fairness and transparency and welcomes enquiries from everyone.If you need assistance or an adjustment due to a disability please let us know as part of your application and we will assist.