Description

• Compliance Monitoring & Testing
• Personal Account Dealing (PAD) Oversight
• Process & Framework Enhancement

Job Description
We are seeking a Regional Compliance Monitoring & Surveillance professional for a leading Singapore-based asset management company to drive risk-based monitoring and surveillance across multiple business units.

Key Responsibilities

Compliance Monitoring & Testing

• Execute a risk-based compliance monitoring and surveillance plan
• Perform thematic reviews, control testing, and surveillance activities
• Ensure proper documentation of testing methodology, results, and issue tracking
• Drive consistency of monitoring standards across regional business units

Personal Account Dealing (PAD) Oversight

• Act as SME for PAD policies, procedures, and controls
• Provide advisory support and training to employees
• Oversee attestations, onboarding checks, system administration, and UAT
• Support breach reviews, investigations, and escalations

Process & Framework Enhancement

• Identify and implement process improvements
• Support automation and data analytics initiatives in surveillance work
• Keep current with regulatory expectations and industry best practices

Stakeholder & Team Support

• Partner with regional compliance and business stakeholders
• Review and guide team output to ensure quality and consistency
• Prepare clear compliance monitoring reports for senior management
• Support compliance projects, reviews, and investigations as required

Ideal Profile

• ~10+ years' experience in Asset / Wealth / Investment Banking Compliance or Surveillance
• Strong background in compliance monitoring, controls testing, and risk frameworks
• Good understanding of regulatory and governance requirements
• Strong analytical, documentation, and reporting skills
• Confident communicator with senior stakeholder exposure
• Proactive, detail-oriented, and improvement-focused

We regret to inform that only shortlisted candidates will be notified.

EA Reg No: R25145980, Bibi Fatima

Allegis Group Singapore Pte Ltd, Company Reg No. 200909448N, EA License No. 10C4544