Compliance and Sustainability Associate

About the Role

We are seeking a Compliance and Sustainability Associate to support the design, implementation, and continuous improvement of our regulatory compliance and ESG (Environmental, Social, and Governance) risk management framework. This is a multidisciplinary role combining regulatory interpretation, risk governance, ESG disclosure management, and sustainability-driven policy development within a cross-border investment management environment.

Candidates with internship experience at a MAS-regulated CMS-licensed firm in Singapore may be particularly well-equipped to integrate quickly and add immediate value. That said, we welcome all applicants who demonstrate strong passion and relevant experience.

Key Responsibilities

1. Regulatory Compliance & Governance

• Client Due Diligence (CDD) / KYC

Lead and support onboarding, periodic reviews, and ongoing KYC reviews for investors, counterparties, and corporate partners. Evaluate complex ownership structures, conduct beneficial ownership checks, and verify source of wealth / funds.

Maintain a comprehensive compliance calendar tracking obligations under MAS Notices, SFA, FAA, AML / CFT regulations, and global equivalents where necessary. Escalate non-compliance risks and ensure timely filings.

Draft, update, and review compliance policies and SOPs including but not limited to anti-corruption, conflict of interest, personal account trading, data protection, and whistleblowing.

Assist in license applications, updates (e.g., RO registration, business scope), and liaising with regulators as needed.

2. AML / CTF Framework Implementation

Conduct sanctions, PEP, and adverse media screening using systems such as Refinitiv World-Check and Know Your Customers. Assess risk level and red flags, document rationale and escalate to the Head of Compliance where appropriate.

Assist the Head of Compliance in identifying, drafting and filing STRs (Suspicious Transaction Reports) to local financial intelligence units (e.g., STRO).

Support the delivery of annual AML / CTF training and keep track of staff acknowledgment and completion records.

3. Business Continuity Planning (BCP) & Operational Resilience

Assist in developing, maintaining, and periodically reviewing the Company's Business Continuity Plan to ensure compliance with MAS guidelines and alignment with internal risk and operational policies.

Coordinate and participate in scheduled BCP testing exercises, including business disruption simulations, incident response walk-throughs, and scenario-based contingency planning. Document results and lessons learned.

Collaborate with department heads to identify critical business functions, validate recovery time objectives (RTOs), and ensure that contingency plans remain practical and effective.

Support incident response efforts during business disruptions by coordinating communications, assisting with escalation procedures, and ensuring alignment with regulatory expectations on reporting and continuity.

Maintain comprehensive records of BCP activities, testing logs, and updates for internal audits and regulatory inspections.

Assist to broader operational risk initiatives, including disaster recovery procedures, ensuring business continuity under various stress scenarios.

4. Cross-Border Compliance & Regulatory Harmonisation

Liaise with regional teams (e.g., China) to align internal documentation, client onboarding standards, and compliance interpretations across different regulatory regimes.

Assist in the assessment and due diligence of third-party service providers, ensuring compliance with MAS Outsourcing Guidelines and cross-border data transfer controls.

5. ESG & Sustainability Risk Governance

Work closely with investment and compliance teams to integrate ESG risk factors into onboarding, client assessment, and transaction monitoring processes. Apply MAS Guidelines on Environmental Risk Management to compliance reviews.

Support the development of ESG due diligence scoring tools used during client / investment screening, with input from international frameworks such as SASB and PRI.

Participate in mapping climate-related risks and scenarios (e.g., physical and transition risks), particularly in relation to investment portfolios and client profiles.

6. Sustainability Reporting & Disclosures

Work with data owners across departments to gather, validate and prepare ESG metrics for disclosures, board presentations, and investor reports.

Assist in aligning the company's sustainability disclosures with global standards such as :

o TCFD (Task Force on Climate-related Financial Disclosures)

o UN PRI (Principles for Responsible Investment)

o MAS ERM Guidelines (Environmental Risk Management Guidelines for Asset Managers)

Prepare materials for Board Sustainability Committees, ESG steering groups, and investor ESG due diligence requests.

7. Training, Ethics & Culture

Support in developing training content on compliance, ethics, anti-bribery, and ESG. Monitor completion rates and gather feedback to improve training outcomes.

Help implement initiatives to build an organisational culture of integrity, compliance, and sustainability-e.g., compliance champions, sustainability taskforces, or themed knowledge-sharing sessions.

8. Communication & Thought Leadership

Prepare dashboards, regulatory updates, ESG newsletters, and compliance memos for management and operational teams.

Conduct forward-looking research on ESG and regulatory trends (e.g., carbon markets, biodiversity metrics, anti-greenwashing laws). Prepare concise summaries for internal use and strategy refinement.

Requirements