Compliance Risk Manager

2 months ago


Singapur, Singapore Phillip Securities Full time

Compliance Risk Manager

We are seeking a seasoned Compliance Risk Manager to enhance our compliance risk framework and manage compliance programs for our diversified investment business groups. The ideal candidate will provide policy guidance, conduct compliance reviews, and develop risk-based compliance programs to facilitate execution of compliance reviews and monitoring.

Key Responsibilities:

  • Conduct compliance reviews and monitoring/surveillance across our business activities;
  • Develop risk-based compliance programs to facilitate the execution of compliance reviews and monitoring;
  • Advise business units in meeting regulatory requirements through implementing appropriate compliance risk policies and enhancing internal processes and procedures;
  • Review completed risk and compliance assessment returns from each area of the business, identifying trends and areas of concern and working with business units to reduce any unacceptable exposures to regulatory risk;
  • Provide compliance training and support through issuing internal compliance updates, training modules, and compliance guidelines.

Requirements:

  • Minimum 3-5 years' relevant experience in compliance, audit, or risk management preferably in the securities, financial advisory, or fund management industry;
  • Knowledge of key applicable regulations such as the Securities & Futures Act, Financial Advisers Act, MAS Notices and Guidelines, AML/CFT regulations;
  • Excellent writing and communication skills;
  • Good interpersonal, influencing, and networking skills;
  • Team player.

About Phillip Securities:

Phillip Securities is a leading financial services company in Singapore, providing a range of investment products and services to individuals and institutions. We are committed to delivering exceptional customer service and building long-term relationships with our clients.



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