Risk and Compliance Manager

3 days ago

Singapore HAFOO SECURITIES (SINGAPORE) PTE. LTD. Full time

Primary Role & Responsibilities:
AML, CFT and Onboarding
- Continuously develop and improve back-end onboarding workflow incorporating MAS requirements.
- Process onboarding of new clients in accordance with MAS KYC/AML requirements.
- Perform ongoing AML/CFT review and monitoring on client accounts including transaction monitoring, name screening, ECDD etc.
- Perform on-going trade surveillance on high-risk client accounts and provide reporting to MAS & SGX when requested.
- Investigate for suspicious activity and assist in drafting Suspicious Transaction Report for submission.
- Keep abreast of development in regulatory requirements to ensure adherence to new and existing requirements. This includes updating related compliance policies and procedures.
- Assist in compliance testing and compiling compliance monthly reports to management.

Risk
- Continuously develop and improve risk monitoring workflow incorporating MAS requirements such as periodic stress testing of portfolio, impact analysis of margin changes during reviews.
- Perform daily margin control functions, monitor client and collateral exposure.
- Provide daily report on client accounts requiring mandatory margin call remediation (Day 2 Call).
- Prepare detailed risk assessments on clients, counterparties and financial products.
- Prepare regular risk reports (including Enterprise Risk Assessment) to management.
- Monitor market risk and analyse key risk issues to highlight to management and recommending margin changes if required to mitigate overall exposures.
- Assist with implementing process and automation across risk platforms.

Others
- Assist in internal and external audits and regulatory inspections.
- Assist in ad-hoc matters and projects as assigned.

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