Compliance/Risk Management
- Singapore
- Permanent
- Full-time
- Development and management of Singapore policies and processes. Handle corporate licensing matters. Interpret and disseminate regulatory updates to other departments
- 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
- Development of Singapore office compliance and risk training materials.
- Provide compliance and regulatory advice on new business initiatives. Manage the daily operation and duties performed, provide on-going compliance monitoring and advices on existing business operations
- University graduate, preferably in law, banking and finance, accountancy, or related discipline
- Proven interest and/or experience in financial services sector, preferably in a securities brokerage or in a multi-product environment like Private Banks, Family Offices, etc
- At least 8 years’ experience in a risk, compliance, AML or regulatory function.
- Fluent in both English and Mandarin; strong Chinese writer preferred
- Excellent problem-solving skills and ability to provide useful and efficient counsel
- Good understanding of performing risk assessment, periodic/trigger reviews and enhanced due diligence