Risk & Compliance Associate - Singapore - KIMBERLEY CONSULTING PTE. LTD.

KIMBERLEY CONSULTING PTE. LTD.
KIMBERLEY CONSULTING PTE. LTD.
Verified Company
Singapore

2 weeks ago

Wei Jie

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Wei Jie

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Description
Our client is an asset management firm with an AUM of 1 bill equity fund. They provide good employee benefits and company culture.


Reporting Relationship:
Compliance Manager


Responsibilities:


  • Secretary to Risk Management Committee
  • MAS Survey / Questionnaires
  • Conflicts of Interest
  • Directors' Business Interest
  • Periodic Disclosure to Investors/Professional Indemnity Insurance
  • Staff Personal Dealing
  • Compliance Risk
  • Outsourcing
  • Licensing Conditions
  • Fit and Proper requirements including Continuing Education
  • Upkeeping Registers
  • Representative Register
  • Distributor/Introducer
  • Outsourcing
  • Gifts and Entertainment
  • Complaints
  • Errors/Exceptions
  • Continuing Education
  • Suspicious Transaction Reports
  • IT Risk
  • Periodic User Rights Review
  • IT assets Inventory
  • Critical IT Systems
  • IT Security
  • Operational Risk


  • Business Continuity Management

  • BCP/DRP
  • Brokers/Counterparties onboarding
  • Brokers/Counterparties Periodic Reviews
  • Introducers/Distributors
  • Investment Risk
  • Investment Mandate Compliance
  • Internal Limits Compliance
  • Other day to day compliance monitoring and ad hoc projects

Requirements:


  • Degree in finance, banking and finance or business related
  • Minimum 12 years relevant experience in funds area
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