Risk and Compliance Manager

2 weeks ago


Singapore FNZ Full time

Role Description

This position is located within our Singapore office and will have responsibility in the day-to-day risk and compliance activities of the Singapore business. The key objective of this role is to ensure the risk and compliance obligations are met and run in an efficient, effective and consistent manner.

Specific Role Responsibilities

This position will provide support and assistance in risk and compliance related matters to ensure that practices, systems and documentation comply with the law and applicable codes of practice/s.
- Manage all risk and compliance related matters including MAS/CMS license requirements, Privacy (PDPA) and AML/CFT
- Monitor client requirements to ensure compliance with service level agreements and their stated restrictions;
- Implement and/or enhance the risk management framework and strategy;
- Enhance Risk Management policies and procedures and undertake a review of 2nd Line Risk Maturity;
- Drive the end-to-end implementation of regulatory changes impacting the organisation;
- Identify emerging risks and assist the CRO in developing strategic solutions;
- Ensuring mandatory training requirements are being met by staff;
- Analyse new legislation, determine the impact on FNZ and its customers and liaise with business partners to ensure successful implementation,
- Develop and implement relevant control frameworks to address regulatory and other change requirements.
- Provide new employees with compliance and risk induction training and ensure all Training & Competence and Individual Registration documentation is completed as required;
- Ensure that all risk events (incidents and breaches) are investigated to determine root cause, that appropriate remedial actions are taken, that incidents are reported to clients and internal committees
- Completion of monthly risk and compliance reporting to clients, boards and committees
- Liaise with and provide guidance to internal and external stakeholders as required on compliance and risk related matters
- Undertake any other projects/ tasks as may reasonably be required to facilitate the smooth operation of the company.
- Work with Internal Audit, project & process governance teams, legal, delivery and the rest of the Risk and Compliance function to enhance and strengthen the controls framework
- Development and Management of the APAC Compliance Monitoring Plan;
- Provide oversight and challenge to Line 1 teams;
- Collaborate with senior leaders and Group Executive stakeholders to strengthen the Risk and Compliance framework;

Experience required
- Tertiary qualification or equivalent;
- Prior experience in internal audit, risk or compliance is required.
- Sound knowledge of the Financial Services industry and the related regulatory environment including, Capital Markets License requirements, AML/CFT, Privacy.
- Demonstrated understanding of familiarity with relevant MAS licensing requirements and Guidance Standards.
- Sound knowledge of risk or compliance practices including KYC practices, transaction monitoring, compliance monitoring and oversight
- Strong relationship management and interpersonal skills essential;
- Problem Solving and Analysis;
- Sound report writing, presentation and verbal communication skills at all organisation levels.
- Demonstrated ability to support required behavioural and cultural change
- Strong commercial acumen and pragmatic approach to driving change
- Advanced user of MS Office product suite (ie, Word Excel & PowerPoint)
- About FNZ_
- FNZ is committed to opening up wealth so that everyone, everywhere can invest in their future on their terms. We know the foundation to do that already exists in the wealth management industry, but complexity holds firms back._
- We created wealth’s growth platform to help. We provide a global, end-to-end wealth management platform that integrates modern technology with business and investment operations. All in a regulated financial institution._
- We partner with over 650 financial institutions and 12,000 wealth managers, with US$1.5 trillion in assets under administration (AUA)._
- Together with our customers, we help over 20 million people from all wealth segments to invest in their future._


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