Location
singapore
Job Type
Full-time
Posted
July 04, 2026
Job Description
Job Responsibilities:
- Provide advisory support and serve as resource to departments in ASDV regarding compliance and control issues.
- Maintenance of risk control register, conduct ongoing review of key risk areas, perform risk assessments to identify gaps and formulate measures to enhance effectiveness of controls.
- As 1 LOD, proactively manage surveillance and compliance reviews by 2 LOD, by identifying and addressing control weaknesses ahead of 2LOD review, coordinate business responses to information requests and ensuring findings are remediated promptly
- Oversee COI and PSI controls within department, incl. wall crossing procedures, information barrier protocols and restricted list maintenance.
- Review pitchbooks for regulatory compliance, fair dealing, disclosure accuracy for required disclaimers and cross border marketing distribution.
- Assess Accredited Investor/Institutional Investor status based on complex structu...
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