Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 50 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate. As a private partnership, we believe our ownership structure fosters a long-term view that aligns our perspectives with those of our clients.
We seek to recruit an experienced Compliance Officer for our Singapore entity. This individual will be the Compliance Officer named to the MAS and responsible for ensuring that our Singapore entity has an appropriate local compliance programme in place. In addition, they will take on broader responsibilities within our wider APAC compliance team including responsibility for our Australia compliance programme. The position is based in Singapore. This individual will report to the APAC Chief Compliance Officer in Hong Kong.
Responsibilities The Compliance Officer will:
Maintain and enhance the compliance programmes in Singapore and Australia
Conduct local compliance testing/monitoring in Singapore and Australia to supplement the global monitoring program
Maintain individual and company licences with the MAS
Support senior management, including the heads of the offices, to fulfil their regulatory supervision duties
Handle regulatory filings/enquiries, and notifications to the regulators
Advise and train the business and investment colleagues on compliance matters and firm policies
Support the firm's business development and fund marketing efforts in Southeast Asia and Australasia
Manage the annual routine compliance audits by external auditors and any regulatory inspections
Manage the periodic independent AML and compliance reviews in Australia
Act as the named local MLRO with the support of our global Financial Crime team
Act as the Chief Compliance Officer for the SEC registration in Singapore with the support of US Compliance colleagues
Eight or more years of relevant compliance experience, ideally gained within the asset management industry
Strong ethics, judgment and maturity
Strong working knowledge and interest in the financial markets
Effective communication, organisation and analytical skills
Creativity and ability to work under pressure
Proactivity, self-motivation and ability to work independently as well as in a team environment
Ability to influence outcomes through collaboration and well-defined advice
Knowledge of rules and best practices applicable to the on-going compliance of an asset manager in Singapore
Similar knowledge of rules and best practices in other markets in the region is highly desirable
JOB TITLE Compliance Officer
JOB FAMILY Compliance
As an equal opportunity employer, Wellington Management considers all qualified applicants will receive consideration for employment without regard to race, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national origin, age, ancestry, disability (physical or mental), medical condition, citizenship, marital status, pregnancy, veteran or military status, genetic information or any other characteristic protected by applicable law. If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at GMCANINQ@wellington.com .
Internal Number: 5917500
About Wellington Management Company, LLP
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