COMPLIANCE OFFICER (PERMANENT/FULL-TIME)

PROFILE OF SANTA LUCIA ASSET MANAGEMENT (SLAM)

We are a c. $1.6bn AUM pan-Asian boutique investment firm headquartered in Singapore (CMS License)with affiliate offices in Jakarta, Taipei and London. We serve institutions, family offices, and high net worths. SLAM follows a philosophy of constructive engagement and deep management contact, responsible investing and we are grounded in a value orientation fit for the 21st century. Signatory to the PRI Principles for Responsible Investment.

SLAM manages several funds and mandates, primarily focused on Asian public markets. The investment style is based on fundamental bottom-up research, with a strong focus on direct engagement with target companies and management teams.

JOB DESCRIPTION: COMPLIANCE OFFICER(PERMANENT/FULL-TIME)

Regulatory Compliance

• Monitor the regulatory requirements, licensing matters, upcoming regulatory changes, conduct regulatory gap analysis and work with the relevant stakeholders.

• Support submission of regulatory reporting and notification to MAS.

• Advise business heads on regulatory requirements and compliance risks.

General Compliance

• Review and update compliance policies and procedures.

• Provide support on AML/CFT and due diligence processes.

• Assist in the execution and periodic update of ML/TF EWRA.

• Monitor regulatory compliance for Funds.

• Provide support for internal and external audits, including coordinating responses to regulatory queries.

• Provide support for outsourcing reviews and compliance matters.

• Maintain accurate, audit-ready logs, registers(e.g. register of interest).

• Handle and liaise with staff and regulator on licensing matters.

• Cover pre-trade compliance testing when required.

• Conduct post-trade reviews and monitoring.

• Monitor compliance of licensing conditions.

Code of Ethics & Personal Account Dealing

• Provide advisory, monitoring and oversight on Personal Account Dealing and Conflicts of Interest, including Outside Business/Employment

Product & Distribution- Review of Marketing Materials& Compliance Advisory of Cross Border Activities

• Review marketing materials to ensure compliance with regulatory requirements, including due diligence and RFPs

• Provide advisory on cross border activities to business and guidance

Ad Hoc

• Work on special projects as and when assigned

We are looking for an individual with strong attention to detail, personal ownership and accountability, and a positive, proactive attitude.

Most importantly, we value individuals who demonstrate integrity and a willingness to learn and grow. We seek candidates who make the most of the opportunities presented to them and are keen to contribute to an established, high-performing team.

We look forward to discussing this opportunity further during the interview process. Please send your CV and cover letter to slaminvest@slam.com.sg.