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Conduct compliance monitoring against AIM's policies and procedures.
Monitor investment restrictions and guidelines, trade surveillance, AML, Sanctions, FATCA, etc.
Review breaches/errors/ incidents, assess their impact, identify root causes, recommend remedial and preventative actions, ensure timely resolution and capture lessons learnt. Update policies and procedures where needed.
Maintain registers relating to regulatory obligations and regulatory reporting, among others.
Advise on personal dealing, gifts and entertainment, outside business interests, conflicts of interests and other issues under the AIA Code of Conduct.
Review marketing materials relating to AIM's products and services (such as Luxembourg UCITS SICAV).
Prepare internal reports to CEO, Board of Directors and Group Risk & Compliance as well as external reports to regulators.
Assist in internal and external audits (such as ISAE 3402 and annual audits) and in regulatory inspections.
Assist in review of risk and control assessments (RCAs), outsourcing documents and business continuity plans prepared by various departments.
Interact with Section Heads in different functions such as equities, fixed income, alternatives, real estate, research, derivatives, trading, operations, legal and governance, finance and internal audit.
Minimum Job Requirements:
A degree holder with least 3 to 5 years of working experience in compliance, risk management, audit and/or control function within an asset management business. Roles in investment operations would be useful.
Knowledge of investment trading and compliance monitoring platforms such as Bloomberg AIM system and/or Blackrock Aladdin (or equivalent systems) is required.
Familiar with compliance and monitoring coverage on Derivatives business (besides other asset classes) is required.
Good understanding of Singapore asset management regulatory framework is needed.
Strong interpersonal skills, meticulous, resourceful and able to work independently as well as in a team.
High degree of proficiency in Microsoft applications (i.e. Excel, Word, Powerpoint).
Ability to handle multiple tasks, meet deadlines, collaborative mentality and work closely with senior stakeholders.
Reports to Head of Compliance &Risk
Supervised by senior managers within a collaborative team