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Coordinating all aspects of the compliance program for the Singapore office as well as other entities in globally as required. Compliance responsibilities include:
business advisory, license/registration applications for entities and individuals, preparing and submitting regulatory surveys/filings/notifications for licensed/registered entities/representatives/funds (including long / short position reporting) to the MAS and other regulators such as CIMA, SEC, drafting policies and guidelines, liaising with regulators
Handling all legal agreements of the firm with service providers
Keeping abreast of changes in regulatory requirements in Singapore and other Asian jurisdictions and assessing the impact on the company's activities in Singapore and in other countries;
Providing guidance internally (e.g., investment/trading teams and corporate) on regulatory matters, compliance policies, licensing, conflicts of interest, and other regulatory topics (e.g., outsourcing, AML, record retention);
Coordinating and working with external advisers, including local counsel and compliance consultants; and
To qualify for this role, you must possess
3-5 years compliance or legal experience with a private equity or hedge fund (CMSL holders) or investment banking firm;
Experience in dealing with the MAS is required and handling regulatory inspections is a plus;
Knowledge of Singapore regulatory regimes, including licensing and regulatory reporting requirements; Candidates with Cayman regulatory knowledge will be a plus.
Ability to work in a standalone compliance role
EA License No: 11C5502 / Registration No: R1110469