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Head of Compliance and Risk, Asia Ex-japan
2 weeks ago
Notes to applicants:
- Most roles at Dimensional will be part of our best-of-both hybrid working model which includes working 3 days in the office. This maximizes in person collaboration and interaction while simultaneously providing flexibility. This broad universal approach applies to most roles globally with a few exceptions that require more or less time in the office. Please discuss with your Recruiter to confirm the details for this specific role.
- Here at Dimensional, we strive to be an inclusive workplace for all. Even if you do not match every qualification listed, if you are interested in who we are, what we do, and why we do it, we suggest and encourage you to apply.
**Job Description**:
ABOUT DIMENSIONAL
ABOUT THE ROLE
The Head of Compliance and Risk, Asia ex-Japan, located in Singapore, is part of Dimensional's regional leadership and the primary contact covering compliance and risk oversight for activities in Singapore, Hong Kong, South Korea and other countries as required. The individual will work closely with the Global Compliance & Risk department as well as with Legal and other teams.
DUTIES & RESPONSIBILITIES
- Advise on rules and regulations associated with current and proposed business activities in the region with respect to licensed entities under the Monetary Authority of Singapore ("MAS"), Securities & Futures Commission Hong Kong ("SFC") and Financial Supervisory Service ("FSS").
- Implement a risk-based compliance monitoring program to provide assurance to Board and Senior Management that proper arrangements and controls are in place to ensure compliance with regulatory obligations and Firm compliance policies.
- Serve as dedicated AML, MLRO, Complaints and Privacy Officer for the relevant businesses.
- Serve on regional risk committees as a voice and advocate for addressing areas of potential risk.
- Enhance and maintain Compliance policies and procedures for the relevant businesses.
- Communicate, advocate for and implement the Firm's global risk appetite to internal and external parties.
- Conduct and oversee compliance training including, but not limited to, licensing requirements, Code of Ethics, FCPA and regional anti-bribery / anti-corruption, and distribution training.
- Primary point of contact for local regulatory authorities and all forms of communication.
- Primary point of contract for all internal and external audits.
- Conduct due diligence and vendor evaluation on various third-party vendors.
- Provide periodic reporting on project status updates, metrics and overall regional concerns.
QUALIFICATIONS
- 10 years of experience working in an asset management compliance function or equivalent (law firm, compliance consultant, audit).
- Relevant undergraduate degree in Finance, Accounting, Law or similar.
- Post graduate degree ideal but not essential.
- Familiarity with Singapore CPF framework.
- Functional understand of investment compliance or an appetite to learn.
- Previous experience managing and developing a small team
- Strong analytical skills with attention to details.
- Able to work under pressure and in a fast-paced environment.
- Good interpersonal skill with the ability to establish and maintain effective business relationships with key stakeholders.
- Good organizational and project management skills to manage different tasks with competing deadlines.
- Reliable, self-motivated, highly ethical in nature, highly effective in working in a across a global, matrixed organization.
- Able to work well independently and within a team.
- Working knowledge of Charles River, Aladdin, or other similar order management systems, a plus.
- Excellent verbal and written English; further language skills in Mandarin a plus.
PREFERRED
- Professional Certification/Licenses/etc.
- Other specialized knowledge, skills and abilities
SCOPE & DIRECT REPORTS
Will manage direct reports from Compliance analyst up to Sr. Compliance Officer.
Dimensional offers a variety of programs to help take care of you, your family, and your career, including comprehensive benefits, educational initiatives, and special celebrations of our history, culture, and growth.
It is the policy of the Company to provide equal employment opportunity for all applicants and employees. The Company does not unlawfully discriminate on the basis of race, color, religion, creed, sex, gender, gender identity, gender expression, national origin, age, disability, genetic information, ancestry, medical condition, marital status, covered veteran status, citizenship status, sexual orientation, or any other protected status. This policy applies to all areas of employment including recruitment, hiring, training, job assignment, promotion, compensation, benefits, transfer, discipline, termination, and social and recreational programs.
