Compliance Officer - Assistant Vice President / Vice President

About the Role

iCapital is seeking a Compliance Officer to join its Global Regulatory and Compliance Team, based in Singapore. This role will assist with a variety of corporate governance and regulatory activities both at the firm level and for investment vehicles.  The successful hire will work together with experienced members from the APAC Regulatory and Compliance Team based in Singapore, Hong Kong and Tokyo to play a key role in supporting iCapital’s fast growing business in APAC.

iCapital operates through a number of different international entities, many of which are licensed to conduct regulated activities. In APAC, the firm holds financial services licenses in Singapore, Hong Kong and Australia.  The successful candidate will partner with the business teams to ensure that our APAC offices are operating within the letter and the spirit of the regulations.

Responsibilities

• Support the development of the compliance strategy to support the firm’s sustainable growth across APAC.
• Monitor regulatory developments and provide clear, practical advice to senior management and colleagues.
• Support regulatory filings, corporate governance and recordkeeping requirements for the firm’s APAC regulated entities and relevant investment vehicles.
• Develop and deliver compliance training and maintain appropriate training records.
• Develop and undertake risk-based compliance monitoring and testing, and support the remediation of identified issues.
• Provide advice on licensing issues, AML/KYC, staff compliance, cross-border distribution and other regulatory matters affecting the business.
• Work closely with senior management, colleagues, regulators and external stakeholders to identify and mitigate regulatory and compliance risks for the firm and its clients.
• Improve compliance processes and controls, including through the responsible use of AI and other technology.
• Act as “Compliance Knowledge Center” within the firm and trusted advisor to senior management, providing guidance and training on compliance topics if needed.

 Qualifications

• At least five years of experience in compliance, regulatory affairs, business controls, audit, accountancy, operations or compliance consulting within financial services.
• Collaborative, proactive and an adaptable team player, able to manage competing priorities in a fast-paced environment.
• Sound knowledge of MAS requirements applicable to capital markets services licence holders, including dealing in securities and funds management.
• Practical Singapore compliance experience, including regulatory filings, AML/KYC, compliance monitoring and personal compliance.
• Experience developing and delivering compliance training.
• Knowledge of private markets, investment funds or fund distribution would be advantageous.
• Knowledge of the regulatory environment in Hong Kong, Japan and Australia, including cross-border requirements, would be advantageous.
• Articulate communicator with excellent written and spoken English, sound judgement and strong attention to detail.
• Collaborative, proactive and adaptable team player, able to manage competing priorities in a fast-paced environment.

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday. 

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.