Assistant Manager, Compliance (Financial Services)

Responsibilities

• Monitor global regulatory changes from authorities like the MAS, SFC, and SEC, and update internal compliance matrices across various jurisdictions to ensure alignment.
• Review and upgrade existing compliance controls, conduct routine policy testing, and support the team during internal, external, and regulatory examinations.
• Manage global regulatory reporting obligations, including Annex IV and CPO-PQR, and assist with year-end filings and quarterly compliance management reporting.
• Review promotional materials, address investor inquiries, and conduct continuous due diligence assessments on third-party vendors and outsourcing partners.
• Deliver compliance onboarding and periodic front-office training while managing the oversight framework for licensed representatives travelling internationally.
• Supervise staff-specific compliance mandates, including the mitigation of conflicts of interest and the mon...