IQ-EQ
Financial Services
SeniorAssociate,RegulatoryCompliance
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“Senior Associate, Regulatory Compliance at IQ-EQ. Skills: Regulatory compliance, MAS regulations, Fund management. Set up compliance function for clients. Design compliance manual”
Industry & Context.
What They're Looking For.
Must Have
3 to 4 years relevant experience, Regulatory compliance experience, Internal audit experience, External audit experience, Legal functions experience, Financial services industry experience
Nice to Have
Broad knowledge of Securities and Futures Act, MAS Notices and Guidelines knowledge, Singapore fund management companies knowledge
What You'll Do.
Set up compliance function for clients
Design compliance manual
Design monitoring program
Advise clients on regulatory compliance
Respond to clients' requests for advice
Conduct regulatory compliance review
Execute ad-hoc projects
Produce write-ups on regulatory updates
Prepare regulatory reporting
How You'll Work.
Team & Collaboration
Manage multiple stakeholders; Clients; Senior management; Team lead; Associates
Communication Scope
Spoken English; Written English; Spoken Chinese; Written Chinese
Full Job Description
We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce of 6,500+ people across 24 jurisdictions and have assets under administration (AUA) exceeding US$857 billion. We work with 13 of the world’s top-15 private equity firms. Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts. Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding. We’re driven by our Group purpose, to power people and possibilities. Our Regulatory Compliance Advisory team services MAS-regulated financial institutions, the majority of whom are Capital Market Services Licence holders for fund management activities. Responsibilities: Reporting to the team lead, you will take responsibility in fulfilling our clients’ needs on full spectrum of regulatory compliance advisory work in relation to ongoing compliance monitoring, including but not limited to: * Set up the compliance function for clients who have successfully applied for MAS licence, including design of compliance manual and monitoring program tailored to the client’s business circumstances * Advise clients on ongoing regulatory compliance requirements and be responsible for clients’ requests for advice and assistance on regulatory compliance related matters * Conduct work on regulatory compliance review based on MAS’ regulatory requirements * Execute ad-hoc projects which affect our clients/ industry (including study of changes to tax incentives, new legal vehicles for investment vehicles, technology adoption for regulatory compliance etc.) * Produce write-ups on regulatory updates w
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