Risk & Compliance Manager
This is a generalist role with a focus on regulatory risk and compliance and the candidate will cover not only local regulatory matters but will also gain exposure to a broader set of regional and global projects and ongoing responsibilities.
The ideal candidate for this role would be someone who is already knowledgeable in local regulations and its applicability to fund management business and is looking to take his/her career to the next level by growing further to a broad regional focus over time. The Risk and Compliance Manager reports to the Head of Legal and Compliance.
KEY DUTIES AND RESPONSIBILITIES
- Supervise the management of a broad range of regulatory risk and compliance matters with a primary focus on (but not limited to) Singapore and the broader Asia region.
- Review various license applications and regulatory filings.
- Monitor regulatory developments and provide guidance on the development of risk management, compliance manuals, policies and procedures.
- Supervise the development of systems to track and monitor our regulatory risk and compliance with regulatory requirements and internal policies.
- Review reports and ensure timely submission of reports to various regulators particularly the MAS.
- Provide guidance on the due diligence exercise in relation to investment/ fund activities and advise on the remedial action in relation to any risk and compliance issues identified. Escalate the issues to Head of Legal and Compliance as and when required.
- Establish risk and compliance training framework and conduct the risk and compliance training programme for internal and external stakeholders.
- Build and maintain regulatory relationship with the MAS and respond to queries from the MAS.
- Undertake various ad hoc risk and compliance projects and initiatives as required from time to time.
Possess a Bachelor degree or equivalent.
Hold a professional compliance qualification (e.g., ICA, ACAMS, CFE).
SKILLS AND EXPERIENCES
At least 8 – 10 years experience in compliance function.
Minimum 5 years experience in compliance function related to asset management.