Regulatory Risk and Financial Crime Compliance Analyst

About the Role ….

Our client is a leading investment management firm with a broad and diversified platform spanning a range of strategies, sectors and geographies. The firm has an exciting opportunity for an Analyst to join its Compliance team based in Singapore. The team is responsible for managing information barriers, conflicts of interest, and regulatory obligations across the organization.

As part of a highly visible team, the successful candidate will work closely with investment professionals, legal counsel, and compliance colleagues globally to support the firm's regulatory and financial compliance framework and help safeguard the firm against conflicts and the misuse of material non-public information.

About the Responsibilities…

• Identify, assess and manage conflicts of interest across business groups, both regionally and globally.
• Oversee the firm's watch lists and restricted lists, ensuring effective implementation and communication of related controls.
• Administer the firm's information barrier framework, including wall-cross procedures and electronic communications surveillance.
• Support the development and enhancement of policies, procedures, and systems relating to regulatory obligations and conflicts management activities.
• Advise business stakeholders on information barrier matters arising from new business initiatives, technology access, workspace arrangements, and other operational considerations.
• Review and escalate matters relating to personal account dealing, private investments, and outside business activities.
• Coordinate with internal legal, compliance, and investment teams, as well as external counsel, to identify, assess, and mitigate potential conflicts.
• Monitor investment review committee discussions and implement temporary information barriers where required.
• Process and review firm trading requests in accordance with internal policies and regulatory requirements.
• Contribute to strategic compliance projects, process improvements, and regulatory initiatives.

About the Requirements ….

• Strong academic credentials with a Bachelor's degree from a recognized university.
• 1 year of relevant compliance, legal, risk or regulatory experience within the financial services industry.
• Strong interest in financial markets, investment management and regulatory compliance.
• Self-motivated, proactive, and able to take ownership of responsibilities in a fast-paced environment.
• Excellent organizational skills with strong attention to detail.
• Strong written and verbal communication skills, with the ability to engage effectively with stakeholders across different levels of theorganization.
• Ability to manage multiple priorities and meet tight deadlines while maintaining a high standard of accuracy.
• Proficiency in Microsoft Office applications, particularly Excel and PowerPoint.
• Willingness to complete the FINRA Securities Industry Essentials (SIE) qualification within nine months of joining.
• Knowledge of the investment management and private funds industry, including familiarity with the Investment Advisers Act of 1940 and relevant SECand FINRA regulations would be a plus.

Due to the high volume of applications received during this period, we seek your understanding that we will only be contacting shortlisted candidates.