Sr. Compliance Manager/Avp

Responsibilities

• Regulatory Oversight &Compliance Monitoring
• ▸ Oversee the regulatory compliance function and monitor, enhance, and manage compliance across NIAPL's three core business lines -Institutional Equities (IE), Custodial Services, and External Asset Management (EAM) including Fund Management - for both the Singapore and Hong Kong licensed entities.
• ▸ Carry out compliance reviews to ensure that the Company complies with rules, regulations, and internal policies and control procedures.
• ▸ Keep abreast of all related local and regional compliance developments across Singapore (MAS) and Hong Kong (SFC).
• Policy Development & Controls
• ▸ Develop, maintain, review, and implement local compliance policies, procedures, and internal controls.
• ▸ Provide compliance advisory support to Business Units on regulatory requirements and operational matters.
• Licensing & Regulatory Submissions
• ▸ Assist in regulatory notifications, license applications, and submissions to MAS (Singapore) and SFC (Hong Kong).
• ▸ Provide regulatory support for licensing, reporting, and conduct requirements across jurisdictions.
• AML / CFT ONBOARDING & KYC
• ▸ Perform KYC/AML-CFT checks and represent the compliance function during client onboarding meetings.
• ▸ Manage and support the AML/CFT programme with particular focus on private wealth & institutional client onboarding and enhanced due diligence.
• INVESTMENT COMPLIANCE
• ▸ Review pre-trade and post-trade compliance checks to ensure adherence to client investment mandates, concentration limits, restricted securities lists, and applicable MAS/SFC conduct of business obligations.
• ▸ Assess the suitability of investment products and advice provided to clients, including compliance with MAS and SFC product suitability and know-your-client (KYC) requirements applicable to the EAM and fund management business.
• Audit, Liaison & Training
• ▸ Liaise and coordinate with regulatory bodies, external/internal auditors, and various stakeholders on audit and compliance matters.
• ▸ Conduct compliance training programmes for staff across relevant business units and markets.
• ▸ Report directly to the Head of International Compliance (Asia).
• REQUIREMENTS& QUALIFICATIONS
• Regulatory Knowledge
• ▸ Good knowledge and understanding of Singapore regulatory requirements under the Securities and Futures Act (SFA Cap. 289) and the Financial Advisers Act (FAA Cap. 110), with specific working knowledge of the compliance obligations applicable to each of NIAPL's three core

Additional Information

ABOUT NUVAMAINVESTMENT ADVISORS PTE. LTD. Nuvama Investment Advisors Pte. Ltd. (NIAPL) is a MAS-licensed Capital Markets Services (CMS) Licensee and part of the Nuvama Group, India's premier multinational wealth and asset management platforms. Headquartered in Mumbai, it manages roughly $48 billion in assets and serves over a million clients across the wealth management, asset management, and capital markets sectors NIAPL operates across three core business lines: (i) Institutional Equities (IE) - dealing in securities and capital markets products for institutional clients; (ii) Custodial Services -providing regulated custody and related services; and (iii) External Asset Management (EAM) including Fund Management -for high-net-worth clients. NIAPL's MAS licence expands Fund Management, Dealing in Capital Markets Products (Securities, CIS, and Exchange-Traded Derivatives), and Providing Custodial Services. NIAPL is also an Exempt Financial Adviser, authorized to advise on and issue analyses/reports across a broad range of investment products including CIS, Securities, ETDs, OTC Derivatives, Spot FX Contracts, Life Policies, and Structured Deposits, as well as to arrange Life Policies other than for reinsurance. ROLE OVERVIEW We are seeking a motivated and detail-oriented Sr. Compliance Manager/ AVP to join our Singapore-based team. This is an individual contributor role supporting and reporting directly to the Head of International Compliance (Asia) (HOC and involves providing dedicated compliance coverage across NIAPL's three core business lines - Institutional Equities (IE), Custodial Services, and External Asset Management (EAM)including Fund Management - across its Singapore and Hong Kong licensed entities. This is an excellent opportunity for a compliance or audit professional with 5-7 years of experience from a wealth management firm, private bank, or financial services audit practice who is eager to build and develop a robust compliance structure across these distinct but interconnected business lines. Candidates with an auditing background who have conducted compliance, regulatory, or internal control reviews of CMS licensees or EAM entities are especially encouraged to apply. The successful candidate will work under the direct supervision of the Head of International Compliance (Asia), gaining broad exposure to MAS and SFC regulatory frameworks, AML/KYC operations, and multi-market compliance advisory.

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