AVP, Risk and Compliance

Responsibilities

• Manage compliance and operational risks partnering with front and back-office teams
• Development and management of Singapore policies and processes. Handle corporate licensing matters. Interpret and disseminate regulatory updates to other department
• To identify, measure, monitor and control all material risks on business activities, formulate and review risk management policies, procedures, risk tolerance limits and methodologies.
• Enhancing the company’s systems, controls and processes to ensure compliance with requirements and obligations prescribed by the MAS and other relevant authorities.
• Customer transactions AML surveillance
• Ongoing internal policies review and updating, including ongoing assessments, internal audit reviews and ad hoc reviews. Interface with internal (e.g. internal auditors, etc.) and/or external stakeholders (e.g. regulators, external auditors, legal counsels etc.) concerning compliance, operational, regulatory controls, risk management and corporate governance related matters
• Prepare and/or coordinate completion and submission of periodic and ad hoc reports and questionnaires to the regulators and government authorities. Handle or coordinate various foreign regulatory filings
• Provide compliance and regulatory advices on new business initiatives.

Requirements

• University graduate, preferably in law, banking and finance, accountancy, or related discipline
• Proven experience in financial services sector, preferably in a securities brokerage or banking or asset management
• At least 8 years’ experience in a risk, compliance, AML or regulatory function.
• Fluent in both English and Mandarin; strong Chinese writer preferred