Compliance Manager

4 weeks ago


Singapur, Singapore Phillip Securities Full time

Compliance Risk Framework Specialist

We are seeking a seasoned compliance professional to enhance our risk management framework and drive regulatory compliance across our diversified investment business groups.

Key Responsibilities:

  • Develop and implement risk-based compliance programs to ensure regulatory adherence and mitigate potential risks.
  • Conduct regular compliance reviews and monitoring to identify trends and areas of concern.
  • Provide policy guidance and compliance training to business units, ensuring they meet regulatory requirements.
  • Collaborate with business units to design and implement risk management initiatives and enhance internal processes.
  • Review and analyze risk assessment returns to identify areas for improvement.

Requirements:

  • Minimum 3-5 years' experience in compliance, audit, or risk management, preferably in the securities, financial advisory, or fund management industry.
  • Strong knowledge of key regulations, including the Securities & Futures Act, Financial Advisers Act, and AML/CFT regulations.
  • Excellent writing and communication skills, with the ability to influence and network effectively.
  • Team player with a strong commitment to regulatory compliance.

About Phillip Securities:

Phillip Securities is a leading financial services company dedicated to providing innovative solutions and exceptional service to our clients.


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