Risk & Compliance Manager

6 days ago

Singapore First Plus Full time

We’re looking for a Manager/AVP/VP level Risk & Compliance officer to join our fast-growing team. This would be a unique opportunity for a compliance or risk professional to work on a board range of regulatory risk and compliance related issues of the fund management business.

**Key Responsibilities Include**
- Monitor regulatory developments and update/develop policies and procedures to ensure the company’s compliance with regulatory requirements.
- Manage regulatory and internal/group reporting and relevant MAS submissions.
- Set up and implement an effective compliance monitoring program.
- lead AML/KYC/CDD work, identify & escalate risks to management when necessary, produce & maintain relevant KYC/CDD records
- Get involved in product development to identify regulatory risks
- Conduct investment compliance monitoring to ensure that the mandates/ funds managed by the company comply with relevant client and regulatory investment restrictions.
- Review marketing materials and client correspondences for compliance with internal and regulatory requirements.
- Review and approve staff trading requests in accordance with the company policy.
- Review fund offering documents/ fund reports for compliance with regulatory requirements.
- Conduct staff training on compliance and regulatory issues/ requirements. Participate in ad-hoc Group and regulatory compliance projects
- Assist Risk Committee in implementing risk management policies and procedures
- Assis in investment portfolio risk analysis and monitoring
- Assist in the Company’s external & internal audits

**Requirements**:

- Minimal 3 years of post-qualification compliance related experience ideally from a financial institution including banks, asset managers and fund managers
- Familiar with relevant MAS guidelines for capital market intermediary
- Someone who has self-initiative and commitment, want to take responsibilities and own policies and processes
- Good communication and writing skills in English; Being able to speak/read Chinese would be a plus.
- Strong interpersonal skills and a good team player.
- Strong analytical and evaluative skills and attention to details.
- Good computer skills in MS Excel, Access, Word & Powerpoint

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