We are working with a growing asset management client who is looking for a Risk & Compliance Manager where the successful candidate will get the opportunity to work on a broad range of regulatory, risk, and compliance topics.
Candidates with prior experience in or exposure to an LFMC will have an added advantage.
Responsibilities
- Keep abreast of any changes or updates to MAS regulations impacting the firm's business and operations
- Develop or update any internal policies, procedures, or guidelines in relation to regulatory requirements
- Lead KYC, CDD, and AML related work, ensuring accurate KYC/CDD records
- Identify & escalate risks to management, when necessary
- Support the effectiveness of the firms' compliance monitoring program - i.e., reviewing of marketing materials, monitoring of clients correspondence, provide oversight into staff's trading activities, conducting investment compliance monitoring to ensure the firms' business is compliant with regulatory requirements according to the SFA, etc.
- Review and approve staff trading requests in accordance with the company policy
- Conduct compliance and regulatory training to internal staff
- Contribute to the investment portfolio risk analysis and monitoring
- Active involvement in internal and external audits
Requirements
- At least 4 years of experience in Compliance from the banking and financial services industry, preferably from the capital markets division, or related asset/fund/investment management business
- Knowledge of the relevant MAS guidelines governing capital markets
- Experience in taking ownership and initiative of processes, policies, etc.
- Excellent written and spoken skills in English; Proficiency in written and spoken Mandarin will be an added advantage as the role's coverage includes the Chinese market
