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Candidate should have an excellent understanding of regulatory compliance policies and procedures, with an exposure to the asset management business.
Day-to-day responsibilities include:
Keep abreast with regulatory reforms that may impact the business, and provide proactive and timely identification, dissemination and advice of regulatory changes and associated risks.
Provide guidance on proper applications and interpretation of laws and regulations applicable to the asset management activities.
Review relevant MAS consultation papers, consider the impact to the business and collate and co- ordinate the submission of business comments (if any) to the regulator.
Execute and maintain the compliance monitoring program to ensure regulatory risks are effectively monitored.
Advice, review and monitor staff activities to comply with policies and procedures in accordance with regulatory requirements and internal guidelines for the business.
Maintain registers, logs, manuals and supporting records.
Provide induction training to new joiners and other ad-hoc training in relation to compliance matters or relevant procedures that impact the business as and when required.
Advise and handle licensing related matters for staff and the business.
Liaise with MAS and external regulatory authorities in Singapore and other countries where business entity has registered with the local authorities.
Aid in the compiling of necessary compliance and regulatory reports and documents as assigned.
Assists in audits, investigations and quality assurance reviews as required.
Support compliance related projects as assigned, for both Singapore and other regional offices / partake in group projects from time to time as necessary.
Sales and Marketing Compliance
Review and conduct independent monitoring over marketing materials distributed to clients to ensure compliance with local advertisement rules, best practices and applicable internal and external requirements.
Advice and monitor on cross border business issues.
Participate in new product or business initiatives to ensure that they are in compliance with regulatory requirements, including reviewing of marketing materials, term sheets and etc.
Compliance monitoring of regulatory investment restrictions and guidelines; and market conduct activities such as cross trading, best execution and fair allocation.
Skills and Expertise:
Minimum 6 - 8 years of relevant experience with at least 3 years in asset management compliance
Strong knowledge of SFA laws, rules and regulations relating to the regulated activities of fund management as well as familiar with the FAA laws, rules and regulations
In-depth knowledge of traditional and alternative investment asset management products
Ability to demonstrate a high degree of initiative and a strong commitment to meeting deadlines
Perform duties objectively and to support sustainable growth in an independent manner
Excellent organizational, prioritization and time management skills
Strong English written and verbal communication skills
Our values define the working environment we strive to create - diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer. We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.
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