DWS Group
Asset Management
SeniorAFC&ComplianceOfficer
“Senior AFC & Compliance Officer at DWS Group. Skills: Asset management compliance, SFA laws, rules and regulations, FAA laws, rules and regulations, Traditional investment asset management products, Alternative products specifically related to Real Estate Investment, Marketing materials review, Cross-border business issues, New product review, Investment restrictions monitoring, Market conduct activities monitoring. Keep abreast with regulatory reforms that may impact the business, and provide p”
What You'll Achieve.
Ensure regulatory risks are effectively monitored.; Ensure compliance with policies and procedures in accordance with regulatory requirements and internal guidelines.; Ensure compliance with local advertisement rules, best practices and applicable internal and external requirements.; Ensure regulatory compliance of new products or business initiatives.; Ensures that all property transactions, asset management actions, valuations, financing activities, and development decisions are carried out within fund mandates, regulator requirements, and proper governance standards.; Protecting investors; Maintaining valuation integrity; Preventing conflicts of interest; Ensuring lawful execution of real estate deals; Overseeing accurate reporting of property and portfolio performance
Industry & Context.
What They're Looking For.
Must Have
Minimum 6 - 8 years of relevant experience with at least 3 years in asset management compliance, Minimum 2 years of experience in providing training to the new joiner, Knowledge of SFA laws, rules and regulations relating to the regulated activities of fund management and dealing in capital market products, Familiar with the FAA laws, rules and regulations, In-depth knowledge of traditional investment asset management products, In-depth knowledge of alternative products specifically related to Real Estate Investment, Ability to demonstrate a high degree of initiative, Commitment to meeting deadlines, Perform duties objectively, Support sustainable growth in an independent manner, Excellent organizational, prioritization and time management skills, Chinese language capability is required to support the review of Chinese marketing materials
What You'll Do.
Keep abreast with regulatory reforms that may impact the business
and provide proactive and timely identification
dissemination and advice of regulatory changes and associated risks.
Provide guidance on proper applications and interpretation of laws and regulations applicable to the asset management activities.
Review relevant MAS consultation papers
consider the impact to the business and collate and coordinate the submission of business comments (if any) to the regulator.
Execute and maintain the compliance monitoring program to ensure regulatory risks are effectively monitored.
review and monitor staff activities to comply with policies and procedures in accordance with regulatory requirements and internal guidelines for the business.
manuals and supporting records.
Provide induction training to new joiners and other ad-hoc training in relation to compliance matters or relevant procedures that impact the business as and when required.
Advise and handle licensing related matters for staff and the business.
Liaise with MAS and external regulatory authorities in Singapore and other countries where business entity has registered with the local authorities.
Aid in the compiling of necessary management
compliance and regulatory reports and documents as assigned.
Participate in regular meetings such as Singapore Country Oversight Management meeting and business division meeting.
investigations and quality assurance reviews as required.
Support compliance related projects as assigned
for both Singapore and other regional offices / partake in group projects from time to time as necessary.
Review and conduct independent monitoring of marketing materials distributed to clients to ensure compliance with local advertisement rules
best practices and applicable internal and external requirements.
Advise and monitor cross-border business issues.
Review new products or business initiatives
including marketing materials and term sheets
to ensure regulatory compliance.
Compliance monitoring of regulatory investment restrictions and and market conduct activities such as cross trading
best execution and fair allocation.
Ensures that all property transactions
asset management actions
and development decisions are carried out within fund mandates
regulator requirements
and proper governance standards.
How You'll Work.
Team & Collaboration
Participate in regular meetings such as Singapore Country Oversight Management meeting and business division meeting.; Support compliance related projects as assigned, for both Singapore and other regional offices / partake in group projects from time to time as necessary.
Communication Scope
Chinese language capability is required to support the review of Chinese marketing materials
Process & Methodology
Support compliance related projects as assigned
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