Compliance Associate, Singapore

Singapore

Role Description

The Compliance Associate will join a growing compliance team, who are responsible for a very broad range of compliance matters across all areas of the firm. They will primarily contribute to the efficient running of the Asia Pacific compliance function but will be expected to contribute to global projects and initiatives, as required.

The individual will be based in Singapore but will cover compliance matters for our Singapore and Hong Kong licensed entities.

Duties will include:

• Provide advice and guidance to the business on a broad range of regulatory and compliance issues as required.
• Provide review and sign-off of marketing materials and provide advisory support on compliance
• matters relating to the firm’s distribution activities in Asia Pacific.
• Analyse and interpret regulatory developments.
• Assist with the conduct of risk assessments, gap analysis, monitoring and testing as part of the overall Compliance Monitoring Plan (CMP).
• Support with management of the Internal Audit (Singapore) and External Compliance Review (HK) programmes, including tracking action items to completion, following up on implementation of recommendations and drafting reporting for Senior Management.
• Development and maintenance of management information.
• Ensure the submission of regulatory returns to the MAS and SFC in a timely manner and respond to standard regulatory requests in a timely manner.
• Maintain the core compliance regulatory registers (i.e. personal account dealing, compliance breaches, gifts and entertainment, conflicts of interest, continuous professional training, etc).
• Draft and update internal policies and procedures in line with regulatory developments.
• Support the firm’s compliance with Anti-Money Laundering (AML) requirements.
• Supervision of some global Compliance activities where appropriate (such as monitoring personal trading), as well as supporting and liaising with global compliance colleagues.
• Support the development and implementation of the firm’s compliance training programme. Inform, advise and educate business units and senior management on all relevant compliance and AML matters.
• Be responsible for ensuring all information security processes, policies and procedures are adhered to and any issues or concerns are raised with the Cyber Security team.
• Ensure full compliance with all local data protection regulations and privacy controls, and any related issues are raised via the appropriate channels.

Key Requirements

The ideal candidate will have approximately 2-3 years’ experience of operating in a broad compliance role within the Wealth Management or Asset Management space and has a good understanding of the regulatory environment.

• Candidates will have a good working knowledge of financial services regulation, in particular good knowledge of MAS rules relating to fund management companies. Knowledge of SFC rules (relating to Type 1, 4 and/or 9 license holders) would be advantageous but is not a requirement.
• Good written and verbal communication skills.
• Ability to work with a degree of independence and escalating issues when and if necessary.
• Ability to interact with multiple levels in an organisation in an international environment.
• Ability to prioritise, multi-task, and manage expectations and time in a fast-paced environment with shifting demands.
• Good organisational, research and project management skills.
• Strong financial and business awareness.
• Legal background would be advantageous.

This is a chance to work in a high-profile firm and ensure the compliance function is both robust and fit to support the business.

Benefits

Partners Capital is committed to being a great place to work. We are focused both on wellbeing and professional growth. You can expect professional development and career progression opportunities, competitive compensation, exceptional benefits and a flexible “results-focused” working model.

Our benefits package includes private medical and life insurance, income protection and pension contributions. In addition, we partner with organisations to provide wellness benefits. Partners Capital supports global philanthropy via a charity program and provides a volunteer day for all employees. We also champion a variety of social events.

Contact Details

Please send your CV and cover letter to with the subject "Compliance Associate, Singapore". Further information about Partners Capital is available on our website