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Regional Compliance Officer – 6 months Maternity Cover

  • Location: Various
  • Sector: Compliance
  • Salary: Competitve
  • Job type:
  • Date posted: 18/11/2020
  • Job reference: ST-18/11-01


  • Provide oversight of the compliance functions of the Local Business Units (LBU) allocated to him/her. Ensure that the local compliance teams are adhering to the Group/Regional Compliance Policies & Standards and implementation of industry best practices, taking into account commercial requirements and local regulatory complexities.
  • Work with the LBU Heads of Compliance to ensure that the Annual Compliance Monitoring Plan (ACMP) established for the LBUs and the compliance tests have been designed to monitor applicable regulatory and compliance risks.
  • Conduct regular reviews of the status of implementation of the LBU ACMP and report accordingly.
  • Be in regular contact with the LBU Heads of Compliance in order to understand and identify the key compliance risks; review and analyse the key compliance management information / statistics and regulatory changes that both Head Office and LBU Compliance teams should watch out for.
  • Be responsible for assigned adhoc tasks such as KI Dashboard reporting; Personal Account Dealing monitoring and reporting; 13H reporting etc
  • Assist to review marketing materials to be posted on global website or social media.
  • Assist to implement Group and PCA policies & standards; and international best practices



  • Total working experience of at least 8 years with experience in the areas of risk and compliance preferably in asset management industry.
  • Have had exposure to cross border regulatory matters preferred.
  • Proficiency in English and one other Asian language


Company Reg No.: 201131609D

Licence No.: 11C4684

EA Reg no: R1328685


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