ASEAN COMPLIANCE MANAGER

Located in Singapore, this position will be attractive to someone who is highly independent and

self-motivated, thrives in the intellectually challenging and stimulating atmosphere of a leading

global firm and desires to have a regional exposure to the relevant geography as well as other

jurisdictions in Asia.

This role is to serve as a Compliance manager providing high quality, effective and efficient

support to Client’s ASEAN (Singapore, Malaysia, Indonesia, Philippines and Thailand) business in

Client’s Growth Markets Region.

This role will not be primarily responsible for the compliance aspects of Client’s Investments

business which is undertaken by Client’s specialist Investments Legal and Compliance team.

However, support may be required on occasion as capabilities and capacity determine.

This is a position is for an established professional individual contributor who is able to work

independently with minimal supervision. This position will be responsible for ensuring regulatory

obligations of the regulated Client firms in ASEAN are met and more generally, for overseeing

regulatory, compliance, risk and governance activities in ASEAN.

The role is also required to assist with regional and global projects of the Group

Companies and Client Legal, Compliance & Public Affairs functions as

necessary and may need to work with LCPA colleagues in other regions or countries.

Role accountabilities and performance measures:

• · Serving as the primary contact with Client’s regulators.
• · Identifying regulations relevant to Client and implementing and monitoring relevant

policies, procedures and controls relating thereto.

• · Providing prompt regulatory advice and support to the business in relation to regulatory

matters and issues.

• · Managing regulatory filings and notifications, including the authorization and licensing of

relevant Client legal entities and employees.

• · Managing and overseeing regulatory examinations/inspections.
• · Conducting investigations into compliance and/or ethics issues.
• · Carrying out duties as the data privacy officer and identifying, implementing, overseeing

and monitoring data privacy issues for the region.

• · Developing and maintaining policies and procedures to support and promote a culture of

integrity, compliance and excellence.

• · Promoting awareness and responsibility through regular communication and training,

including developing and conducting regular training for Client personnel.

• · Facilitating Clients’ risk management process, conducting risk assessments and maintaining

risk registers, and organizing/managing risk committees as relevant.

• · Identifying potential risk and compliance issues associated with new products, services and

jurisdictions and implementing appropriate measures to address these.

• · Conducting periodic monitoring and compliance assessments to confirm compliance with

regulatory requirements and internal policies and standards.

• · Working Client’s business and functional units to determine corrective actions for relevant

issues, including Errors & Omissions.

• · Preparing risk and compliance reports for business leaders and senior members of the LCPA

function, as needed

• · Support M&A activity from a risk and compliance due diligence perspective.
• · Pro-active involvement in the activities underpinning the global objectives of the Client

Legal and Compliance Department through participation in working groups or committees.

Requirements:

• · Minimum of 5 years’ relevant experience in a compliance role in a MAS-regulated

industry

• · Familiarity with the insurance broking and financial advisory business highly

advantageous.

• · Familiarity with data privacy regulations in the region.
• · Prior experience working with regulators, including MAS, preferred.
• · Law or similar degree from a top university preferred.
• · Excellent written and verbal skills in English.
• · Familiarity with the local culture, business customs and legal environment as it impacts

the Client business in ASEAN.

• · Strong track record in planning and organizing effectively, creating value and capturing

know-how.

• · Ability to track and advise on new regulations and their implications on business

activities.

• · Ability to write clear, concise and accurate reports on regulatory positions, investigation

results and other matters as required.

• · Must be able to support and embrace change.
• · Commercially focused, culturally sensitive with excellent communication skills and

business acumen

• · High standard of integrity and professionalism with the ability to balance compliance

with business objectives

• · Highly proactive and independent with excellent multi-tasking and organization skills
• · A team player who is willing to support and contribute to the wider Legal and

Compliance community.

• · Meticulous attention to detail and the ability to work to tight deadlines and pressure, and

manage time critical issues effectively and efficiently.

• · Willing to travel as required.

If you think you meet the above requirements and want to apply  please send your CV  and cover letter in word format to.

kiantong.tan@horizon-recruit.com 

mark.deery@horizon-recruit.com

Applications close on 15 September:

Please share this opportunity with any colleagues that you think would be interested.

Our Search is Global

Horizon Recruitment is an Asian based legal recruitment agency specializing in the placement of partners, associates and team moves for leading international law firms in Asia. 

We also place candidates for in house counsel and compliance roles at MNCs and global investment banks. 

We search for these candidates globally.  Singapore EA Licence No. 12S6213