Posted:
12/8/2024, 11:24:03 AM
Experience Level(s):
Senior
Field(s):
Legal & Compliance
Job Description
This role will form part of our Compliance team based in Singapore and reports to the Head of Compliance - Singapore.
Roles and Responsibilities
- Keeping Abreast of Regulatory Changes, Provision of Compliance Advisory and Support to Business
Ensure prompt and effective communication of regulatory requirements, licensing matters, upcoming regulatory changes including changes to regulatory investment restrictions, group and local compliance policies to management, business heads and staff.
Support the evaluation of the potential commercial and/or operational impact resulting from specific regulatory changes or legislations which affects business compliance arrangements, procedures, processes and awareness.
Keep abreast of regulatory developments in Singapore, including gathering and providing feedback on public consultation papers to the Monetary Authority of Singapore.
Maintain local compliance manuals which are in line with Group policies as well as international best practices and relevant regulatory requirements.
Conduct in-house training for staff e.g. induction, staff personal dealing, licensing, regulatory requirements etc.
- Licensing Matters and Monitoring of Licensing Conditions for abrdn Asia Limited and its subsidiaries
Handle and liaise with staff and regulator on licensing matters
Monitor compliance of licensing conditions for abrdn Asia Limited and its subsidiaries
Monitor regulatory compliance for Korea entity
- Code of Ethics & Personal Account Dealing
Provide advisory, monitoring and oversight on Personal Account Dealing and Conflicts of Interest, including Outside Business/ Employment
- Product & Distribution - Review of Marketing Materials & Compliance Advisory of Cross Border Activities
Review of marketing materials to ensure compliance with regulatory requirements, including due diligence and RFPs
Provide advisory on cross border activities to business and guidance to APAC Compliance Teams
- Regulatory filing and due diligence requests
Perform regulatory filing
Assist with compliance related due diligence requests from clients and internal stakeholders
- Compliance Monitoring
Work with the Monitoring & Oversight team to complete reviews and tests on regulatory hotspots
- Team support
Provide support to the Head of Compliance - Singapore
Provide guidance and mentorship to junior team members
- Ad Hoc
Work on special projects as and when assigned
Provide compliance support for other regions beyond Singapore (as the regional hub) where required
Cover other team members when other team members are out of office
Website: https://abrdn.com/
Headquarter Location: Edinburgh, Edinburgh, City of, United Kingdom
Employee Count: 10001+
Year Founded: 1825
IPO Status: Public
Last Funding Type: Undisclosed
Industries: Customer Service ⋅ Enterprise Software ⋅ Finance ⋅ Financial Services