Risk and Compliance Officer

2 weeks ago

Singapore AVALLIS INVESTMENTS PTE. LTD. Full time

Avallis Investments holds the full CMS license and its core businesses are External Asset Management (EAM), Portfolio Management and Fund Management. Its clients include HNW, UHNW, Accredited Investors and Family Offices.

Reporting directly to the Chief Executive Officer and Managing Director, this position focuses on establishing governance, risk and compliance culture through analysis, reporting, identifying risks and establishing controls for the first and second lines of defense.

Role and Responsibilities
- Acting as the liaison officer to professional and regulatory bodies (i.e., MAS, lawyers, auditors etc.).
- Advising senior management and relevant stakeholders on risks and compliance matters.
- Keeping up to date with the latest global and local regulatory landscape and ensure that the company’s business activities conform to the current regulations.
- Conducting due diligence on new and existing clients, counterparties and business introducers
- Reviewing suspicious activity to assess whether it is true/false, liaising with necessary stakeholders and performing through analysis and investigations.
- Periodically assessing company operations to determine compliance risk
- Updating of risk and compliance manuals.
- Drafting of risk and compliance policies and procedures.
- Updating and maintenance of compliance registers
- Organizing and conducting training sessions to educate staff on internal policies and relevant regulations.
- Supporting ad-hoc projects as and when required.

Qualifications and Education Requirements
- Tertiary education in Law, Finance, Business, or a related discipline
- CAMS or ICA certifications will be viewed upon favourably
- Minimum 3 years of risk and compliance experience from a financial institution
- Working knowledge on SFA, FAA, MAS regulations and other regulations applicable to a CMS licensee
- Prior experience in a CMS licensed entity will be highly advantageous
- Proficiency in Mandarin is required because you are required to liaise with Chinese-speaking stakeholders

Preferred Skills
- Ability to analyse and interpret information quickly
- Highly developed written and oral communication skills
- Strong time management with the ability to prioritize and deliver
- Self-starter attitude and be able to work independently
- Keen willingness to learn and able to work under pressure

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