Compliance Risk Manager
4 days ago
Nanhua Asset Management Sg Pte. Ltd.
We are seeking a highly skilled Compliance & Risk Manager to join our team in Singapore.
As a key member of our Compliance team, you will play a critical role in ensuring that our business activities align with local and international regulatory requirements.
You will be responsible for managing compliance risks, identifying potential issues, and implementing effective controls to mitigate these risks.
Your primary focus will be on supporting the company's compliance management framework, working closely with internal stakeholders to ensure compliance with asset management industry regulations.
Key Responsibilities:- Identify and stay up-to-date with all compliance requirements under the Monetary Authority of Singapore (MAS) regime;
- Maintain and implement Company's Compliance policies and procedures, including AML/CFT Manual, Outsourcing, TRM, Compliance Manual;
- Partner with stakeholders in managing the Enterprise Risk Management Framework (ERM), ensuring relevance to changing business needs and landscape;
- Ensure ongoing compliance with all internal processes and policies;
- Conduct regular compliance audits and suggest measures to improve efficacy of processes;
- Continuously evaluate internal processes and institute improvements;
- Act as point-of-contact for all compliance requirements and obligations in Singapore, with internal and external stakeholders;
- Coordinate and liaise with regulatory authorities on enquiries, licensing matters, reporting, inspection, or investigations;
- Prepare and ensure ongoing compliance with MAS regulatory and filing requirements;
- Perform AML/CDD/KYC checks as well as name screening on newly onboarded clients as well as ongoing review of existing clients;
- Provide training to employees on compliance topics, enhancing their awareness and understanding of policies to ensure company-wide adherence to compliance standards;
- At least 5 years of working experience in a compliance, external audit, governance environment, with at least 2 years in a standalone or lead compliance role;
- Solid experience and knowledge of Singapore regulations as well as good understanding of MAS regime;
- Experience building compliance frameworks and policies from scratch will be advantageous;
- Strong command of English and Mandarin to liaise with stakeholders in Singapore and China office;
- Prior experience working in Fund Management or Private Wealth Management is preferred;
- Have strong sense of ownership spirit, and able to work independently;
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