About the role
Investment Compliance, Financial Services
Our client is a leading global investment institution. They are currently seeking an Investment Compliance hire to join their Singapore-based team, supporting investment activities across multiple asset classes and jurisdictions.
Responsibilities for this Investment Compliance, Financial Services role
- Support the Investment Compliance function in ensuring compliance with regulatory requirements, client mandates, and internal risk frameworks.
- Conduct investment monitoring activities to ensure adherence to investment restrictions, regulatory obligations, and portfolio guidelines.
- Manage regulatory filings, submissions, and reporting requirements across relevant jurisdictions.
- Configure, review, test, and maintain compliance rules within order management systems, trade execution platforms, and compliance monitoring tools.
- Collaborate with investment, legal, compliance, finance, operations, and technology stakeholders to address regulatory and compliance-related matters.
- Provide compliance advisory support for new products, markets, investment strategies, and business initiatives while ensuring appropriate governance and risk controls.
Requirements for this Investment Compliance, Financial Services role
- Bachelor's degree in Finance, Accounting, Business, Law, or a related discipline.
- At least 4 to 6 years of experience in Investment Compliance, or a related function within asset management, banking, insurance, or other financial institutions.
- Strong understanding of investment regulations, portfolio monitoring requirements, and compliance control frameworks.
- Experience with regulatory reporting, compliance monitoring systems, guideline coding, or investment compliance platforms is preferred.
- Strong analytical and data management skills with high attention to detail.
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