Compliance Officer

Neuberger Berman

Job Location:

Singapore - Singapore

Monthly Salary: Not Disclosed

Posted on: 21 hours ago

Vacancies: 1 Vacancy

Job Summary

Summary of Role:

Based in Singapore and employed by Neuberger Berman Singapore Pte. Limited (Neuberger Singapore) the Compliance Officer will be a member of the regional compliance team (Neuberger Asia Compliance) which covers the firms business activities and operations across the Asia Pacific (ex China Japan and Korea) region (Neuberger Asia) and will report to the Head of Compliance for Neuberger Asia who is based in Singapore. Although primarily focused on compliance matters relating to Neuberger Singapore as a member of the Neuberger Asia Compliance team he/she will be a part of and work closely with Neubergers Global Compliance team on all matters related to the development implementation and ongoing maintenance of Neuberger Asias compliance risk management framework as well as partnering closely with the Neuberger Asia Legal team.

Responsibilities:

Responsible for the implementation and ongoing maintenance (incorporate requirements from contemporary regulatory requirements Groups policies and international best practices) of Neuberger Singapores and Neuberger Asias compliance risk management framework including its annual compliance program.
Addressing exceptions arising from the compliance monitoring program. Prepare reports to Senior Management and relevant stakeholders across the Group regarding the findings.
Monitors regulatory changes and determine the impact to Neuberger Singapore. Lead / support the implementation of regulatory changes.
Gathering and providing feedback on public consultation papers thereby influencing the regulatory decision-making processes.
Ensure prompt and effective communication of regulatory requirements licensing matters including changes to regional compliance policies to Senior Management and relevant stakeholders across the Group.
Providing ongoing compliance advisory to respective functions across the Group on business initiatives highlighting and addressing specific concerns.
Interacting with Neuberger Singapores staff in providing guidance and education regarding compliance policies and procedures and assisting with the preparation and delivery of compliance training to ensure all Neuberger Singapore staff are aware of and familiar with such compliance policies and procedures and applicable laws rules and regulations.
Conducting regular reviews of Neuberger Singapores business activities and operations for adherence to compliance policies and procedures and applicable laws rules and regulations including but not limited to best execution insider trading etc.
Reviews and approves marketing materials and due diligence requests.
Assisting in the onboarding and ongoing review of client accounts and agreements including where applicable and to the extent appropriate ensuring that AML KYC and suitability checks have been undertaken and are up to date.
Responsible for all matters related to Neuberger Singapores regulated activities including but not limited to: Communicating with regulators MAS notifications and registrations; regulatory examinations; undertaking regulatory reporting regulatory surveys and ad-hoc requests.
Assist in responding to requests from both internal and external auditors.

Requirements:

An undergraduate degree.
Business level fluency in reading writing and speaking English is a prerequisite; and a reasonable level of fluency in reading writing and speaking Mandarin is preferred.
Around 5 to 10 years of experience serving in the role of compliance or as an auditor focused on financial services is preferred.
Some understanding / knowledge of the regulatory environment and the laws rules and regulations applicable to an asset management company in Singapore is preferred.
Strong interpersonal and communication skills with a confident engaging and outgoing personality.
Strong analytical skills with attention to details.
Strong organizational and time management skills with an ability to multi-task with competing deadlines.
A willingness to use initiative and an ability to work both independently and in a team.
Able to work under pressure and in a fast paced environment.
Self-motivated.

Visa sponsorship may be available for qualified candidates. Sponsorship decisions will be made in accordance with company policy and applicable laws.

Neuberger is an equal opportunity employer. The Firm and its affiliates do not discriminate in employment because of race creed national origin religion age color sex marital status sexual orientation gender identity disability citizenship status or protected veteran status or any other characteristic protected by local state or federal laws rules or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process please contact .

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Required Experience:

Unclear Seniority

Summary of Role:Based in Singapore and employed by Neuberger Berman Singapore Pte. Limited (Neuberger Singapore) the Compliance Officer will be a member of the regional compliance team (Neuberger Asia Compliance) which covers the firms business activities and operations across the Asia Pacific (ex C...

Summary of Role:

Responsibilities:

Responsible for the implementation and ongoing maintenance (incorporate requirements from contemporary regulatory requirements Groups policies and international best practices) of Neuberger Singapores and Neuberger Asias compliance risk management framework including its annual compliance program.
Addressing exceptions arising from the compliance monitoring program. Prepare reports to Senior Management and relevant stakeholders across the Group regarding the findings.
Monitors regulatory changes and determine the impact to Neuberger Singapore. Lead / support the implementation of regulatory changes.
Gathering and providing feedback on public consultation papers thereby influencing the regulatory decision-making processes.
Ensure prompt and effective communication of regulatory requirements licensing matters including changes to regional compliance policies to Senior Management and relevant stakeholders across the Group.
Providing ongoing compliance advisory to respective functions across the Group on business initiatives highlighting and addressing specific concerns.
Interacting with Neuberger Singapores staff in providing guidance and education regarding compliance policies and procedures and assisting with the preparation and delivery of compliance training to ensure all Neuberger Singapore staff are aware of and familiar with such compliance policies and procedures and applicable laws rules and regulations.
Conducting regular reviews of Neuberger Singapores business activities and operations for adherence to compliance policies and procedures and applicable laws rules and regulations including but not limited to best execution insider trading etc.
Reviews and approves marketing materials and due diligence requests.
Assisting in the onboarding and ongoing review of client accounts and agreements including where applicable and to the extent appropriate ensuring that AML KYC and suitability checks have been undertaken and are up to date.
Responsible for all matters related to Neuberger Singapores regulated activities including but not limited to: Communicating with regulators MAS notifications and registrations; regulatory examinations; undertaking regulatory reporting regulatory surveys and ad-hoc requests.
Assist in responding to requests from both internal and external auditors.

Requirements:

An undergraduate degree.
Business level fluency in reading writing and speaking English is a prerequisite; and a reasonable level of fluency in reading writing and speaking Mandarin is preferred.
Around 5 to 10 years of experience serving in the role of compliance or as an auditor focused on financial services is preferred.
Some understanding / knowledge of the regulatory environment and the laws rules and regulations applicable to an asset management company in Singapore is preferred.
Strong interpersonal and communication skills with a confident engaging and outgoing personality.
Strong analytical skills with attention to details.
Strong organizational and time management skills with an ability to multi-task with competing deadlines.
A willingness to use initiative and an ability to work both independently and in a team.
Able to work under pressure and in a fast paced environment.
Self-motivated.