Compliance Officer, Asia Pacific (ex. Japan and Korea)

at  Neuberger Berman

Summary of Role:
Based in Singapore and employed by Neuberger Berman Singapore Pte. Limited (“NB Singapore”), the Compliance Officer will be a member of Neuberger Berman’s compliance team (“NB Asia Compliance”), which covers the firm’s business activities and operations across the Asia Pacific (ex China, Japan and Korea) region (“NB Asia”), and will report to the Head of Compliance for NB Asia, who is based in Singapore. Although primarily focused on compliance matters relating to NB Singapore, as a member of the NB Asia Compliance team, he/she will be a part of and work closely with Neuberger Berman’s Global Compliance team on all matters related to the development, implementation and ongoing maintenance of NB Asia’s compliance risk management framework, as well as partnering closely with the NB Asia Legal team.

Responsibilities:

• Responsible for the implementation and ongoing maintenance (incorporate requirements from contemporary regulatory requirements, Group’s policies and international best practices) of NB Singapore’s and NB Asia’s compliance risk management framework, including its annual compliance program.
• Addressing exceptions arising from the compliance monitoring program. Prepare reports to Senior Management and relevant stakeholders across the Group regarding the findings.
• Monitors regulatory changes and determine the impact to NB Singapore. Lead / support the implementation of regulatory changes.
• Gathering and providing feedback on public consultation papers, thereby influencing the regulatory decision making processes.
• Ensure prompt and effective communication of regulatory requirements, licensing matters, including changes to regional compliance policies to Senior Management and relevant stakeholders across the Group.
• Providing ongoing compliance advisory to respective functions across the Group on business initiatives, highlighting and addressing specific concerns.
• Interacting with NB Singapore staff in providing guidance and education regarding applicable compliance policies and procedures, and assisting with the preparation and delivery of compliance training to ensure all NB Singapore staff are aware of and familiar with such compliance policies and procedures, and applicable laws, rules and regulations.
• Conducting regular reviews of NB Singapore’s business activities and operations for adherence to compliance policies and procedures, and applicable laws, rules and regulations, including but not limited to best execution, insider trading etc.
• Reviews and approves marketing materials and due diligence requests.
• Assisting in the onboarding and ongoing review of client accounts and agreements, including, where applicable and to the extent appropriate, ensuring that AML, KYC and suitability checks have been undertaken and are up to date.
• Responsible for all matters related to NB Singapore’s regulated activities, including but not limited to: Communicating with regulators, MAS notifications and registrations; regulatory examinations; undertaking regulatory reporting, regulatory surveys and ad-hoc requests.
• Assist in responding to requests from both internal and external auditors.

Requirements:

• An undergraduate degree.
• Business level fluency in reading, writing and speaking English is a prerequisite; and a reasonable level of fluency in reading, writing and speaking Mandarin is preferred.
• Around 5 years of experience serving in the role of compliance or as an auditor focused on financial services is preferred.
• Some understanding / knowledge of the regulatory environment, and the laws, rules and regulations applicable to an asset management company, in Singapore is preferred.
• Strong interpersonal and communication skills, with a confident, engaging and outgoing personality.
• Strong analytical skills with attention to details.
• Strong organizational and time management skills, with an ability to multi-task with competing deadlines.
• A willingness to use initiative, and an ability to work both independently and in a team.
• Able to work under pressure and in a fast paced environment.
• Self-motivated.

Neuberger Berman is an equal opportunity/affirmative action employer. The Firm and its affiliates do not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact
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• Responsible for the implementation and ongoing maintenance (incorporate requirements from contemporary regulatory requirements, Group’s policies and international best practices) of NB Singapore’s and NB Asia’s compliance risk management framework, including its annual compliance program.
• Addressing exceptions arising from the compliance monitoring program. Prepare reports to Senior Management and relevant stakeholders across the Group regarding the findings.
• Monitors regulatory changes and determine the impact to NB Singapore. Lead / support the implementation of regulatory changes.
• Gathering and providing feedback on public consultation papers, thereby influencing the regulatory decision making processes.
• Ensure prompt and effective communication of regulatory requirements, licensing matters, including changes to regional compliance policies to Senior Management and relevant stakeholders across the Group.
• Providing ongoing compliance advisory to respective functions across the Group on business initiatives, highlighting and addressing specific concerns.
• Interacting with NB Singapore staff in providing guidance and education regarding applicable compliance policies and procedures, and assisting with the preparation and delivery of compliance training to ensure all NB Singapore staff are aware of and familiar with such compliance policies and procedures, and applicable laws, rules and regulations.
• Conducting regular reviews of NB Singapore’s business activities and operations for adherence to compliance policies and procedures, and applicable laws, rules and regulations, including but not limited to best execution, insider trading etc.
• Reviews and approves marketing materials and due diligence requests.
• Assisting in the onboarding and ongoing review of client accounts and agreements, including, where applicable and to the extent appropriate, ensuring that AML, KYC and suitability checks have been undertaken and are up to date.
• Responsible for all matters related to NB Singapore’s regulated activities, including but not limited to: Communicating with regulators, MAS notifications and registrations; regulatory examinations; undertaking regulatory reporting, regulatory surveys and ad-hoc requests.
• Assist in responding to requests from both internal and external auditors