Associate/Senior Associate, Regulatory Compliance

Our Regulatory Compliance Advisory team services MAS-regulated financial institutions, the majority of whom are Capital Market Services License holders for fund management activities.  

Responsibilities

Reporting to the team lead, you will take responsibility in fulfilling our clients’ needs on full spectrum of regulatory compliance advisory work in relation to ongoing compliance monitoring, including but not limited to:   

• Set up the compliance function for clients who have successfully applied for MAS license, including design of compliance manual and monitoring program tailored to the client’s business circumstances  
• Advise clients on ongoing regulatory compliance requirements and be responsible for clients’ requests for advice and assistance on regulatory compliance related matters  
• Conduct work on regulatory compliance review based on MAS’ regulatory requirements  
• Execute ad-hoc projects which affect our clients/ industry (including study of changes to tax incentives, new legal vehicles for investment vehicles, technology adoption for regulatory compliance etc.)  
• Produce write-ups on regulatory updates which affects our clients 
• Prepare regulatory reporting based on MAS’ risk-based capital requirements

Requirements

• At least 3 to 4 years of relevant experience in regulatory compliance, internal/ external audit or legal functions in the financial services industry (for Senior Associate).  
• Fresh graduate or candidate with less experience will also be considered for Associate role. 
• Candidate with broad knowledge of the Securities and Futures Act and MAS Notices and Guidelines for Singapore fund management companies preferred  
• Able to manage multiple stakeholders including clients, senior management, team lead and associates  
• Candidates who are positive, proactive and fast learners will be highly desired 
• High proficiency in spoken and written English, preferably with business-level spoken and written Chinese as well 

Additional Information

OUR COMMITMENT TO YOU AND THE ENVIRONMENT  

Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.  

There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee. 

Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 6,500+ employees - from 94 nationalities, across 24 countries - to each achieve their potential.  Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced. 

We’re committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients’ sustainability and success lead to our sustainability and success. We’re emotionally invested in our clients right from the beginning.