Risk and Compliance Manager

4 days ago

Singapore UTI INTERNATIONAL (SINGAPORE) PRIVATE LIMITED Full time

**Key job responsibilities**:

- Fund registration (for new jurisdictions, new share classes etc) and Fund renewal (for existing jurisdictions). Handle refresh of documents such as prospectus, product highlight sheets, KIIDs, regulatory forms etc.
- Due Diligence Checks on distributors, introducers, staff, fund administrators, and other material third parties
- Pre-trade and Post-trade compliance checks, including screening against sanction lists using World Check
- Ensure compliance with new and revised regulatory requirements - MAS (Acts, Notices, Circulars, Announcements, Guidelines etc), EU/CBI, FCA, DFSA, FINMA and others
- Regulatory reporting (periodic and ad-hoc returns, surveys and questionnaires) - MAS, CBI, FCA, DFSA and others
- Provide periodic compliance reporting to various external stakeholders and head office; and review of compliance reports from fund administrators
- Review and update of policies relating to Risk and Compliance
- Board meeting preparation on Risk and Compliance matters
- Manage internal and external auditors
- Maintenance of various registers (e.g. enterprise wide risk registers, employee personal trading logs, Register of MAS representatives, E-learning status, complaints register etc)
- ESG compliance review on the portfolio holdings
- Any other ad-hoc assignments
- Attention to details, positive attitude, hardworking
- Ability to prioritise, multi-task and good project management skills
- Good communication skills and ability to manage different stakeholders to balance conflicting interests
- Basic knowledge in financial instruments (including equity, bonds, common types of financial derivatives), fund industry
- Good Microsoft Office skills, especially Excel and Word

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