Compliance Manager, Investment Management

  • Excellent
  • Singapore
  • Permanent, Full time
  • Sloane Shorey Consulting , EA Licence No: 17S8548
  • 16 Mar 19

Business-facing compliance role reporting to the Regional Head of Compliance for a global investment management firm. Role is responsible for cross-border marketing compliance, marketing materials review and clearance, regulatory compliance, compliance monitoring and client on-boarding and classification.


Duties –


Cross-Border Marketing:

Compliance support to Sales covering marketing materials for prospects and clients.

Regulatory guidance to Sales on compliance with local rules where Funds are promoted in Asia.

Guidance on cross-border marketing risks and advising on best practice to Sales and Marketing.

Review and validate client and prospect communication against local regulations.


Marketing Document Review:

Compliance review of financial promotions and marketing material created by Marketing.

Ensure compliance with local conduct of business rules, policies and Fund messaging.

Establishing/improving and documenting procedures to promote best practice for approval of marketing material.

Assist in updating guidance provided to the Marketing teams on a regular basis.

Work with Client Relations to review and validate responses to RFPs received from prospects.

Maintain team log of marketing review requests.

Maintain Disclaimer Library used by Marketing Communications. Review with business regularly.


Monitoring of Regulatory Changes:

Keep log of all regulatory changes impacting regulated activities conducted in Asia Pacific

Work with Compliance and other teams to identify necessary follow-ups.

Provide regular reports to Asia Pacific and Global Legal & Compliance teams.

Participate in regular regulatory meetings of the ASIFMA and HKIFA and attend other industry events.

Participate in Team’s contribution to written responses to regulators’ consultations, and communication with regulators, through the various industry organisations.



Carry out compliance monitoring tasks and provide reporting to relevant groups.

Assist with updating monitoring programme to align with business activities and regulatory changes.

New client classification / onboarding. Collection and analysis of KYC, AML and investment suitability documentation and ongoing updates, including screening of prospects and clients using WorldCheck.

Contribute to Compliance training efforts across Asia offices



3+ years of relevant compliance experience.

5+ years’ experience of cross-border activities in the financial industry

Highly organized, independent contributor able to interact at all levels on projects with tight deadlines.

Strong verbal and written communication skills and close attention to detail.

Chinese-language spoken and written skills advantageous


For more information, please apply today.


Sloane | Shorey

Sloane Shorey Consulting is a banking & financial services recruitment firm specialising in compliance, controls and risk management. We cover hiring at all levels of seniority across Asia with offices in Hong Kong and Singapore.

Live vacancy listings:

Singapore MOM EA License 17S8548 | Hong Kong Employment Agency 54879