Senior Compliance Analyst

Job Description

Job Description

Who we are

Aberdeen Investments is part of Aberdeen Group plc one of the UKs leading Wealth & Investments groups.

Strengthening talent and culture is one of our strategic priorities. We strive to make Aberdeen a great place to work so that we can attract and retain the industrys best talent.

Our people put our stakeholders at the heart of everything they do by helping us to make a positive difference to the lives of our clients customers colleagues shareholders and society.

We are repositioning our specialist asset management business to meet client demand and are committed to providing excellent client service supported by leading technology and talent.

As a global business Aberdeen consists of three divisions: Investments Adviser and interactive investor (ii). Each division is dedicated to meeting and adapting to our clients evolving needs.

Our Asia Pacific Investments business has a large dedicated and highly experienced investment team which has been investing across the region since 1985 and manages all our Asian products including regional country smaller companies and sustainable investing propositions.

The team has a strong regional footprint with offices in Singapore Bangkok Kuala Lumpur Tokyo Hong Kong Shanghai Seoul and Sydney. This breadth gives us close proximity to the companies we own and the markets we invest in. Our APAC operations have been based in Singapore since 1992. We invest in Asian companies to grow with them and to help them to

Senior Compliance Analyst

The Senior Compliance Analyst supports the Compliance function by delivering a risk-based compliance monitoring programme providing regulatory advice to business stakeholders and maintaining core compliance processes. The role partners closely with internal teams and external stakeholders (e.g. regulators trustees auditors and clients) to help ensure the firm meets its regulatory obligations.

Key Responsibilities

Compliance Monitoring

• Contribute to the design maintenance and risk scoring of the risk-based compliance monitoring programme ensuring coverage of all relevant regulated activities.
• Deliver monitoring reviews end-to-end in line with the agreed schedule methodology and quality standards (including accuracy documentation and presentation).
• Report monitoring findings to business units and partner with management to agree track and close remedial actions.

Advisory & Regulatory Guidance

• Provide regulatory and compliance advice to business stakeholders and act as a liaison to help teams understand and follow compliance processes.
• Support the review of new mandates and mandate changes (e.g. Investment Management Agreements (IMAs) and prospectuses) to ensure requirements can be monitored effectively.
• Communicate ongoing changes in fund guidelines to relevant teams and support updates to systems controls and monitoring work plans.
• Deliver or coordinate training where appropriate to promote awareness of regulatory requirements and internal standards.

Core Compliance Processes

• Maintain core compliance registers and controls (e.g. complaints log/register and financial promotions review processes).

External Stakeholder Management

• Represent the firm at relevant compliance and industry forums; share key updates and implications with internal stakeholders.
• Coordinate and support external compliance monitoring visits and reviews (e.g. by regulators clients trustees and auditors) ensuring information is provided accurately and on time.
• Respond to external queries (e.g. from trustees and regulators) relating to assigned monitoring areas and delegated compliance processes.
• Track regulatory developments and assess potential impacts to the business; support or lead change projects as assigned.
• Support client and prospective client meetings including due diligence engagements as required.

Additional Responsibilities

• Support other compliance-related activities critical to local operations which may include licence registrations and coordination of execution for legal contracts/agreements.

Reporting

• Prepare inputs for compliance papers and reporting on internal controls (e.g. for Board Compliance and risk governance forums) as required.
• Ensure timely completion of client regulatory and internal reporting deliverables.

Qualifications & Experience

• Experience in compliance monitoring compliance advisory or regulatory compliance within asset management financial services or a regulated environment.
• Strong understanding of risk-based monitoring approaches control testing issue management and remediation tracking.
• Ability to interpret regulatory requirements and translate them into practical guidance procedures and monitoring plans.
• Excellent written and verbal communication skills with the ability to present clear findings and recommendations to stakeholders.
• Strong organisational skills and attention to detail with the ability to manage multiple priorities and deadlines.
• Degree or equivalent professional qualification; compliance-related certifications are an advantage.

Were committed to providing an inclusive workplace where all forms of difference are valued and which is free from any form of unfair or unlawful treatment. We define diversity in its broadest sense this includes but is not limited to our diversity of educational and professional backgrounds experience cognitive and neurodiversity age gender gender identity sexual orientation disability religion or belief and ethnicity and geographical provenance. We support a culture that values meritocracy fairness and transparency and welcomes enquiries from everyone.

If you need assistance or an adjustment due to a disability please let us know as part of your application and we will assist.