Position :

Title :  Manager, Compliance (Investment Management)

Department :  Legal & Compliance

The Legal & Compliance department shall be responsible and make sure that company carries on its
business endeavors in line with local laws, rules and regulations as well as other policies and minimum
standards issued by UOB Group.


Job Description :

• Develop & maintains Compliance Manual (Investment Management), monitor compliance & report on exception to local and regional management.
• Monitor & report on Prospectus, local regulations etc.
• Oversee establishment of client account, portfolios, etc. Ensure all documentation is signed and lodged with appropriate persons.
• Daily monitor company investment for the fund under management in regard to the investment limitation as specified by the SEC and the fund’s project.
• Report to the SEC and Trustee of the fund in case that investment is over the investment limitation.
• Communicate and disseminate relevant laws, regulations, rules and notifications to employees.

Requirements :

•  Master/ Bachelor degree in legal/business
• At least 3-5 years experiences in Compliance (investment management) fromasset/ fund management company.
• Good understanding of SEC regulations
• Exposure to compliance issues and practice.
• Excellent communication & writing skills.