Compliance Associate ( AI Tech)

Industry: AI Technology / Investment Research / Financial Services

About the Company

Our client is a fast-growing, venture-backed AI investment research firm serving over 300 institutional investors, including hedge funds, mutual funds and asset managers globally.

The company leverages AI technology, fundamental research and expert networks to deliver investment insights to institutional clients across the US and Asia.

They are seeking a Compliance Associate to support daily compliance operations, ensure adherence to internal policies and regulatory requirements, and work closely with the Compliance Manager.

Key Responsibilities

• Review and approve expert interview topics, expert profiles and interview transcripts to identify confidential or inappropriate information.

• Review investment research content before publication to ensure compliance with internal policies and procedures.

• Provide day-to-day compliance guidance and support to sales, operations and business teams.

• Conduct compliance training and support the implementation of compliance policies and procedures.

• Manage client compliance enquiries and implement client-specific compliance requirements.

• Collaborate with Technology teams to enhance compliance systems and internal controls.

• Support compliance monitoring, risk assessments and ad-hoc projects.

Requirements

• Bachelor's degree with 1–3 years of experience in compliance, legal or a related field.

• Prior experience in financial services, investment research or expert networks would be advantageous.

• Understanding of financial regulations, risk management and due diligence processes is preferred.

• Strong analytical skills with excellent attention to detail.

• Proactive, organised and able to work independently in a fast-paced environment.

• Proficient in Microsoft Office and online research tools.

• Relevant compliance or risk management certifications would be an advantage.

Why Join?

• Exposure to global institutional investors and AI-driven investment research.

• Opportunity to develop expertise in financial services compliance and risk management.

• Dynamic, international working environment with opportunities for professional growth.

Interested candidates are invited to submit their updated CV for consideration.

Please note only shortlisted candidates will be contacted.

Shirley Tan (EA Licence Number: 25S2710 /Registration ID: R21103665)