Keep up to date on regulatory developments and advise the business on investment compliance matters.
Advise business on investment restrictions and matters.
Establish and carry out the compliance monitoring program to ensure adherence to regulatory obligations.
Assist in maintain the investment compliance framework and procedures.
Investigate pre & post trade violation and conduct trade surveillance (e.g. best execution, timely execution etc.)
Regulatory compliance experience from the fund/asset management or buy side industry.
Knowledge of investment restrction related regulations such as Code of CIS, CPFIG, UCITS etc.
Good at building relationships; you will be dealing with both internal and external stakeholders of ranging seniority on a day to day basis.
To discuss in more detail and obtain further information please contact Shingo Wong on firstname.lastname@example.org or call +65 9815 9447.
EA Registration Number R1545180. Licence Number – 16S8139
Black Swan Group is an award winning global corporate governance recruitment firm who launched here in Singapore in early 2014. We have developed a reputation for finding exceptional talent and matching them with exciting and unique opportunities. Initially founded in London in 2010 we now have 3 offices globally in London, Singapore and Hong Kong supporting clients across the entire spectrum of financial services businesses.