Risk & Compliance Executive

Phillip Capital Management (S) Ltd; Singapore; On-site; SGD 60,000 - 90,000; Full time

Job summary

A leading company in fund management is looking for a Risk and Compliance Manager to oversee compliance frameworks and enhance reporting processes. This role involves collaborating with both internal and external stakeholders to ensure adherence to regulations, and preparing essential documentation and training material. Candidates should possess extensive knowledge of relevant regulations and strong communication skills, with a commitment to integrity and responsibility.

Qualifications

• Minimum of three years in risk, compliance, operations, or accounting.
• Good writing and communication skills essential.
• Familiarity with ESG risk management frameworks preferred.

Responsibilities

• Prepare risk and performance reports for the investment team.
• Enhance compliance programs and monitor execution standards.
• Oversee pre-trade and post-trade compliance activities.

Skills

Knowledge of regulations

Communication skills

Integrity

Positive attitude

Tools

Bloomberg

Job description

Responsibilities:

• Preparing regular risk and performance reports for the investment team, senior management and the Directors.

• Continuous enhancement of the risk-based compliance programs to maintain high standards in execution of compliance reviews and monitoring.

• Working closely with various functions within the firm to ensure that the firm and its funds comply with the requirements of all applicable statute, rules and regulations.

• Overseeing pre-trade and post-trade compliance.

• Implementing and enhancing portfolio ESG risk management framework, policy compliance and monitoring processes, in close collaboration with internal and external stakeholders.

• Dealing with risk and compliance-related communication and reporting with internal and external stakeholders, such as trustees, solicitors and the MAS.

• Dealing with fund documentation such as trust deeds, prospectuses, private placement memorandums, product sheets and agreements.

• Overseeing and assessing Business Impact Analysis and Business Continuity Management for the firm.

• Preparing risk and compliance training material and modules.

• Performing due diligence checks and preparing documentation for applications of licensed representatives under the MAS’ Representative Notification Framework.

• Participating in ad-hoc projects or initiatives that may be assigned by senior management, including collaborations with Phillip Group of companies.

Requirements:

• Knowledge of all applicable statute, rules and regulations for the fund management industry, such as the Securities and Futures Act, Financial Advisers Act, MAS Codes, Notices and Guidelines, and AML/CFT regulations.

• Familiarity with Bloomberg and its risk management modules such as CMGR (preferred).

• Exposure to formulation of portfolio ESG risk management framework (preferred).

• Minimum of three (3) years of work experience in either risk, compliance, operations or accounting.

• Good writing and communication skills.

• High sense of responsibility and integrity.

• Positive attitude and willingness to learn.