Risk & Compliance Manager

3 days ago

Singapore Prudential Financial Advisers Singapore Full time $80,000 - $120,000 per year

Job Profile Summary:

Your role is crucial for ensuring that the company operates within legal boundaries, adheres to regulations, and maintains ethical standards. Your responsibilities include overseeing regulatory compliance, assessing risks, and designing and implementing risk and compliance programs. Effective communication, analytical thinking, and ethical integrity are essential skills for success in this role.

Job Description:

  • Develop and implement company policies and processes, Group's requirements, and regulations.
  • Develop, maintain and monitor the annual compliance plan, ensuring timely execution of activities.
  • Provide guidance and assistance to business units regarding relevant regulations specific to the insurance industry. Integrate regulatory requirements into business plans and processes. Clearly articulate compliance-related matters to representatives and/or business units.
  • Review existing processes relating to data privacy, regulatory, sales compliance and financial crimes requirements. Identify risks that could impair the company's reputation, information security, or general operations and implement ways to mitigate or eliminate them entirely.
  • Collaborate with business functions to document controls related to risk management, compliance with insurance laws and regulations, established compliance programs, internal controls, and operational processes.
  • Assist in monitoring control systems to deal with violations of regulations and internal policies. Perform RCSA and perform control testing to evaluate the effectiveness of key controls.
  • Oversee and ensure timely and accurate submission of non-financial regulatory reports to relevant authorities.
  • Assist in managing internal and external audit reviews/projects.
  • Provide support on regular and/or ad-hoc reporting to relevant governance forums.
  • Undertake ad-hoc tasks, projects or reviews as directed by Head of Risk and Compliance.

Who we are looking for:

  • Experience in regulated Financial Advisers/Insurance industry and familiar with all applicable statutes, rules, and regulations relevant to the Financial Advisers industry. These may include the Financial Advisers Act, MAS Codes, Notices, Guidelines, and AML/CFT regulations.
  • Excellent communicator, ability to translate regulatory requirements relevant to the business and representatives.
  • Nimble and flexible to change, able to adapt to fast-paced and changing situations.
  • Experience in Compliance and Risk processes.
  • Organized and meticulous.
  • Keen to learn with positive work attitude.
  • Stakeholder management, enjoys working with people at all levels of seniority.

Working Experience:

  • At least 4-6 years of working experience in risk and/or compliance roles. This experience is preferably gained within the FA/Insurance industry.
  • Exposure to the Financial Advisers sector, regulatory compliance, AML and risk management is highly valuable.

Education:

  • Degree in any discipline.

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