Careers

Job Description
We’re 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 or risk professional to work on a board range of regulatory risk and compliance related issues of the fund management business.

Key Responsibilities Include

• Monitor regulatory developments and update/develop policies and procedures to ensure the company’s compliance with regulatory requirements.
• Manage regulatory and internal/group reporting and relevant MAS submissions.
• Set up and implement an effective compliance monitoring program.
• lead AML/KYC/CDD work, identify & escalate risks to management when necessary, produce & maintain relevant KYC/CDD records
• Get involved in product development to identify regulatory risks
• Conduct investment compliance monitoring to ensure that the mandates/ funds managed by the company comply with relevant client and regulatory investment restrictions.
• Review marketing materials and client correspondences for compliance with internal and regulatory requirements.
• Review and approve staff trading requests in accordance with the company policy.
• Review fund offering documents/ fund reports for compliance with regulatory requirements.
• Conduct staff training on compliance and regulatory issues/ requirements. Participate in ad-hoc Group and regulatory compliance projects
• Assist Risk Committee in implementing risk management policies and procedures
• Assis in investment portfolio risk analysis and monitoring
• Assist in the Company’s external & internal audits

Requirements

• Minimal 3 years of post-qualification compliance related experience ideally from a financial institution including banks, asset managers and fund managers
• Familiar with relevant MAS guidelines for capital market intermediary
• Someone who has self-initiative and commitment, want to take responsibilities and own policies and processes
• 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