Governance, Risk & Compliance Specialist at Quilter providing oversight on governance, risk, and compliance activities, strengthening Quilter Invest’s risk management culture across the organization.
About the role
- Senior Associate providing compliance consulting for registered investment advisers navigating regulatory requirements. Drafting compliance policies, conducting reviews, and offering regulatory solutions.
Responsibilities
- Provide day-to-day support in the development, implementation and maintenance of compliance programs for a portfolio of registered investment advisers, including but not limited to:
- Development and implementation of compliance policies and procedures - ensure compliance policies and procedures are effectively communicated to client, in accordance with the Firm’s regulatory requirements
- Opportunity to develop MAS and other global regulatory knowledge and experience
- Drafting compliance manuals and other compliance documentation for clients
- Establishing and maintaining the compliance infrastructure for clients
- Undertaking periodic compliance monitoring reviews at client premises
- Writing compliance monitoring reports
- Managing regulatory reporting schedules
- Drafting and/or reviewing regulatory reports and returns
- Providing ad hoc regulatory advice and solutions
- Updating clients on regulatory change
- Assisting Kroll in updating compliance material to take account of Rule changes
Requirements
- Bachelor’s Degree required
- Excellent written and verbal communication skills that help represent diverse communities
- Experience working with diverse teams
- Minimum 5+ years of experience with an exposure to compliance and alternative asset management industry
- Proven experience in a compliance role, for example within an MAS regulated firm or a compliance consultancy practice
- Detailed understanding of MAS rules and regulations
- Good understanding of the financial services industry in particular the alternative asset management
- Client facing, solutions focused skills
- Driven, displays leadership skills, influences others as well as collaborative problem solver;
- Clear, logical thought processes, ability to make decisions and articulate these clearly
- Legal or audit background would be useful
Benefits
- Client training opportunities
- Networking with industry professionals
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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