- 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.
- 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 four (4) years of work experience in risk and compliance, preferably in the asset management industry.
- Good writing and communication skills.
- High sense of responsibility and integrity.
- Positive attitude and willingness to learn.
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Risk & Compliance Manager - Singapur, Singapore - Phillip Securities
Description
Risk & Compliance Manager
Responsibilities:
Requirements:
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