Compliance Program Manager

4 weeks ago


Singapore Phillip Securities Full time

Compliance Program Manager Job Description:

We are seeking a Compliance Program Manager to enhance the compliance risk framework of Phillip Securities. The candidate will assist in managing and executing compliance programs, providing policy guidance, and conducting compliance training for the company's diversified investment business groups.

Key Responsibilities:

  • Conduct compliance reviews and monitoring/surveillance across the company's business activities;
  • Develop risk-based compliance programs to facilitate the execution of compliance reviews and monitoring;
  • Advise the business units in meeting regulatory requirements through implementing appropriate compliance risk policies, assisting with the design and implementation of risk and compliance management initiatives, and enhancing and improving internal processes and procedures;
  • Review the completed risk and compliance assessment returns from each area of the business, identifying trends and areas of concern and working with the business units to reduce any unacceptable exposures to regulatory risk;
  • Provide compliance training and support through issuing of 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;
  • Should have 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.


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