Compliance & Risk Management Manager

16 hours ago

Singapore TOP ASSET MANAGEMENT PTE. LTD. Full time

**Job Description & Requirements**:
**Brief:
The Compliance and Risk Management Manager will be overall responsible for the company's Compliance and Risk Management. The role is to manage the development and enhancement of operational risk and control within Operations Management Group.To work with the Board and in every aspect of the business including regulatory compliance matters..

**Major Responsibilities**
- Oversee the general compliance.
- Ensure daily operations comply with Singapore (MAS) and/or other regulatory requirements in different markets (Hong Kong, US and Australia etc. )
- Carry out regular compliance check at front, middle and back offices.
- Perform and review regular compliance checking.
- Review and investigate Trade and Communication surveillance alerts.
- Review, revising and drafting internal manuals, policies and procedures to ensure in compliance with rules and regulation of the MAS and SGX
- Liaise with regulators, legal consultants.
- Handle inquiries from regulators, e.g. the MAS and SGX and relevant regulatory authorities (Hong Kong, US and Australia etc. )
- Conducting AML/KYC checking and other necessary investigations.
- Formulate, review and update policies and procedures.
- Preparing compliance training to staff.
- Identify, assess, and offer insights on control needs for risks mitigation to help improving operational risks.
- Support risk management projects, e.g. risk tool implementation, business impact analysis, dashboards.
- Liaise and coordinate with other control functions on operational risk and control activities.
- Ensure the Group company owned policies, guidelines, procedures, and practices are in place to address key Operational risks and that are aligned with the relevant regulatory requirements.
- Ensure audit findings are rectified properly. Undertake consistent liaison and collaboration with internal audit, external audit, ORM, compliance.
- Review business and operational processes to ensure proper implementation of corrective actions to address control deficiencies.

**Education/Experience/Knowledge/Skill**:

- Bachelor’s degree or above in finance, law or related disciplines is preferable.
- At least 5 years work experience in Finance industry, experience in General Compliance in regulatory is an advantage.
- Familiar with rules and regulations of the other regulatory requirements in different markets and jurisdictions.
- Able to work independently, self-motivated with strong sense of responsibility and analytical mind.
- Good command of English, Cantonese and fluent in Putonghua is an advantage.

**Salary range**:

- SGD 5,000 - 13,000 per month

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