Vista previa de la oferta
Compliance Specialist
mid · Risk & Compliance
About Schroders
We’re a global investment manager. We help institutions, intermediaries and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future. We have around 5,000 people on six continents and we’ve been around for over 200 years, but keep adapting as society and technology changes. What doesn’t change is our commitment to helping our clients, and society, prosper.
Overview of Role
The Compliance Specialist plays a critical role in ensuring that the company operates within the regulatory framework. He/She is responsible for implementing and maintaining effective compliance monitoring programs to mitigate risks and promote a culture of compliance within the organisation. He/ She will be working closely with various stakeholders, including senior management, counterparts from the Group and other related entities, as well as regulators to ensure adherence to applicable laws, regulations and industry best practices.
1. Keeping Abreast of Regulatory Changes, Provision of Compliance Advisory and Support to Business
- To 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 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.
- To support the implementation of regulatory changes.
- Keep abreast of regulatory developments in Singapore, including gathering and providing feedback on public consultation papers to the Monetary Authority of Singapore.
- Assist in communications and requests from regulators, external and internal auditors on regulatory/ compliance matters.
- Maintain local compliance manuals which are in line with Group policies as well as industry best practices and relevant regulatory requirements.
- Providing compliance advisory on fund/product related matters.
- Review client agreements from compliance’s perspective.
- Conduct in-house training for staff e.g. anti-money laundering, staff personal dealing, licensing, regulatory requirements etc.
2. Trade Surveillance and Compliance Monitoring
- Perform trade surveillance tasks and activities based on the Compliance Monitoring Program
- Ensure program is carried out timely and effectively, addressing the key risks identified and prepare reports to management / stakeholders regarding findings and recommendations made from the review.
3. Anti-Money Laundering
- To assist the MLRO as second line of defence against money laundering activities Advise the business and senior management on their responsibility to establish and maintain effective anti-money laundering systems and controls.
4. Substantial Shareholding Disclosure
- Conduct monitoring and reporting of substantial shareholding disclosure.
5. Cross Border Activities
- Provide advisory on cross border activities to business for South East Asia countries.
6. Working with the Business
- Work together with relevant functions on new business initiatives and projects, highlighting and addressing specific compliance and regulatory concerns.
- Carry out review of RFPs / RFIs / marketing materials and completing requests/questionnaires from clients, regulators etc.
7. Management Reporting
- Support compliance reporting to senior management, Group etc.
Job Requirements
- Degree Holder
- Candidate should have at least 3-5 years of relevant working experience preferably in asset management set-up
- Good understanding of local regulations impacting asset management firms
- Candidate with knowledge of retail product-related regulations is an added advantage
- Confident individual who is an effective communicator with good interpersonal skills
- Analytical with strong problem solving skillset
- Driven, resilient and able to work well independently and within a team, in a fast paced and dynamic environment
We recognise potential, whoever you are
Our purpose is to provide excellent investment performance to clients through active management. Diversity of thought facilitated by an inclusive culture will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer: you are welcome here regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background or any other protected characteristics.