MANAGER/AVP/VP, RISK & COMPLIANCE

We are 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 professional to work on a board range of regulatory and investment risk as well as compliance related issues of the fund management business. 

Key Responsibilities:

• Monitor evolving regulatory developments to update internal policies, manage all internal/group reporting, and oversee timely statutory submissions to the Monetary Authority of Singapore (MAS).

• Design, implement, and maintain an effective compliance monitoring program, including conducting staff training on regulatory requirements and driving ad-hoc group compliance projects.

• Lead the end-to-end AML/KYC/CDD framework, including producing and maintaining records, identify and escalate key risks to management, and manage internal controls such as reviewing staff trading requests, marketing materials, and client correspondences.

• Conduct rigorous investment compliance monitoring to ensure all managed funds and mandates strictly adhere to regulatory investment restrictions, client guidelines, offering documents, and risk disclosures.

• Partner actively with business development and investment teams during new fund launches and commercial initiatives to proactively identify, evaluate, and mitigate potential regulatory risks.

• Assist the Risk Committee in implementing risk management frameworks, support investment portfolio risk analysis and monitoring, and facilitate internal and external audits from a control and compliance perspective.

Requirements:

• Minimal 3 years of post-qualification compliance related experience ideally from a financial institution including banks, asset managers and fund managers;  or from audit firms
• Familiar with relevant MAS guidelines for capital market intermediary  
• Proactive and highly accountable individual with the drive to take full ownership of internal policies, optimize operational processes, and independently spearhead initiatives from conception to execution.
• 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