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Compliance Risk Manager

1 week ago

Singapore Phillip Securities Pte Ltd Full time
Job Description

The Senior Compliance Executive will play a vital role in managing and executing the compliance programs for Phillip Securities Pte Ltd. This includes providing regulatory advisory services to ensure the Trust business is in line with relevant laws and regulations.

Main Responsibilities:

  • Conduct thorough reviews and monitoring of the company's business activities to ensure compliance with regulatory requirements.
  • On-board new clients by reviewing source of wealth and source of funds, and conducting periodic reviews and ongoing transaction monitoring.
  • Develop risk-based compliance programs to facilitate effective execution of compliance reviews and monitoring.
  • Provide guidance to business units on meeting regulatory requirements through implementing appropriate compliance risk policies, assisting with the creation and revision of risk and compliance management initiatives/policies, and enhancing internal processes and procedures.
  • Review audit reports from each area of the business, identifying trends and areas of concern and working with the business units to reduce unacceptable exposures to regulatory risk.
  • Deliver compliance training and support through issuing internal compliance updates and training modules.

Requirements:

  • Experience in compliance or risk management in the financial industry is preferred.
  • Knowledge of key applicable regulations such as the Trust Companies Act and/or Trustee Act is an advantage.
  • Excellent writing, strong communication, analytical, interpersonal, and decision-making skills are required.
  • Attention to detail and ability to work independently with timely completion of tasks are essential.
  • A team player with good analytical and interpersonal skills.