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Manager, Compliance and Risk

3 weeks ago

Battery Road, Singapore Primera Search Full time

Our client is a Financial Institution with offices in Europe and Singapore (Raffles place) and a strong reputation in securities dealing and lending. We are currently looking for a Manager - Risk and Compliance personnel to join their dynamic team.

**Responsibilities**:

- Interface and liaison between the regulator (Monetary of Authority; MAS) and the Branch. It is expected that the Compliance Manager will handle all relevant MAS queries and liaise with the Head of CDD, Compliance & Risk and MLRO and the Singapore General Manager on MAS related matters. Any ad hoc communication between the Branch and MAS will also be dealt with by the Compliance Manager.
- Ensure the guidance and procedures for all client reviews are in line with the AML Policy & Procedure, UK and Singapore regulation and law. This includes sanction guidance, client entity guidance, adverse media guidance. It is expected that any procedural gaps are identified based on relevant regulation and a solution is formed. Engaging in quality assurance checks on CDD case files as required and in line with the internal procedure.
- Responsible for reporting any suspicious transactions to the MLRO for relevant SONAR reporting and where required to the relevant Singapore authorities.
- Oversight of new starter CDD/Compliance/Risk training. All relevant training materials must be assigned to new joiners through the online training platform. Further, it is expected that the Compliance Manager will embed new training materials as new regulatory requirements surface or are amended. This could include AML, Financial Crime, and Market abuse training.
- Horizon Scanning - responsible for continuously monitoring, and tracking changes and developments associated to relevant sanctions regimes, and legal and regulatory developments that may be relevant to the Singapore Branch. It is expected that support will be give to the Head of CDD, Compliance & Risk and MLRO with the implementation of new rules and processes.
- Responsible for ensuring that the risk-based monitoring program remains effective, efficient and in-line with regulatory requirements. Assisting the Head of CDD, Compliance & Risk and MLRO with reviewing and streamlining the program, streamline where possible and eliminate redundant checks.
- Providing support for Risk monitoring tasks as required. This may also include risk assessments.
- Support the Head of CDD, Compliance & Risk with ICARA preparations as required.
- Participation within monthly Committee preparation; focusing on regulatory requirements and developments within Singapore.
- Reviewing the MAS portal for updated prohibition orders that require distribution amongst the wider business for awareness.
- Operational oversight of daily monitoring and surveillance activities conducted by other members of the team. This includes but may not be limited to transactional monitoring, international sanctions, best execution reviews, any market abuse monitoring and electronic communication surveillance.
- Responsible for assessing and approving PAD requests within the Singapore Branch.
- Oversight of the shared mailboxes.
- Assisting the Head of CDD, Compliance & Risk and MLRO with team management within Singapore.

Pay: $5,000.00 - $8,000.00 per month

Schedule:

- Monday to Friday

**Education**:

- Bachelor's or equivalent (preferred)

**Experience**:

- compliance: 2 years (preferred)

Work Location: In person