AVP/VP, Regulatory Compliance (Investment Management)

What you'll do:

As AVP/VP, Regulatory Compliance (Investment Management), you will play a pivotal role in safeguarding the organisation's reputation by ensuring robust compliance practices are embedded throughout its investment management operations in Asia.

• Advise and support business units on compliance matters across various Asian jurisdictions (excluding Japan and India), covering both private and public side investment management activities.
• Draft, maintain, and update regional compliance policies and procedures while providing input on global policy initiatives relevant to the region.
• Develop comprehensive training materials and conduct engaging training sessions for personnel; communicate regulatory updates effectively throughout the business.
• Ensure adherence to all applicable regulatory frameworks related to cross-border activities, investment offerings, OTC derivatives, licensing requirements, and business conduct.
• Assist in identifying areas for improvement within the compliance programme based on evolving business needs and changes in the regulatory landscape.
• Provide expert cross-border advice and review marketing materials to ensure alignment with regulatory requirements across different jurisdictions.
• Support audit processes, regulatory filings, licensing matters, including compiling submissions for regulators such as MAS, HK SFC, US SEC; respond promptly to ad-hoc queries and participate in onsite inspections.
• Participate actively in regional and global projects involving new products, business initiatives or instruments to ensure compliance considerations are integrated from inception.
• Collaborate closely with colleagues across multiple business lines to deliver coordinated oversight on integrated transactions and business opportunities.

What you bring:

Your proven background as an AVP/VP, Regulatory Compliance (Investment Management) means you bring not only technical expertise but also valuable soft skills that foster trust among colleagues.

• At least eight years' experience in compliance-related roles within financial institutions or regulators ensures you bring deep industry insight.
• A minimum of five years' recent experience specifically within the investment management sector demonstrates your specialised expertise.
• Highly analytical mindset with thorough understanding of investment management regulations across Asia enables you to interpret complex rules effectively.
• Exceptional written and oral communication skills allow you to convey regulatory updates clearly to stakeholders at all levels.
• Detail-oriented approach ensures accuracy when drafting policies or reviewing documentation under pressure.
• Motivation and ability to multi-task efficiently within a high-pressure environment supports successful delivery of multiple concurrent projects.
• Proven track record of collaborating with cross-functional teams highlights your interpersonal strengths.
• Experience developing training materials or conducting sessions showcases your commitment to knowledge-sharing.

What sets this company apart:

The organisation stands out for its unwavering commitment to fostering an inclusive workplace where every team member is encouraged to share ideas openly and collaborate towards common goals. Employees benefit from flexible working opportunities that promote work-life balance alongside generous access to ongoing training programmes designed for continuous professional growth. Supportive leadership ensures that individuals feel valued for their contributions while being given space to develop their careers further. The company's dedication to maintaining high standards of integrity is matched by its focus on creating a welcoming environment where diversity is celebrated-making it an employer of choice for those seeking meaningful work within investment management compliance.

What's next:

If you are ready to take your career in investment compliance to new heights within a collaborative and supportive environment, we encourage you to apply now!

Apply today by clicking on the link provided.

Do note that we will only be in touch if your application is shortlisted.

Robert Walters (Singapore) Pte Ltd

ROC No.: 199706961E | EA Licence No.: 03C5451

EA Registration No.: R22105333 Nur Humaira Binte Jamall Abd Nassir