Risk and Compliance Manager Risk and Compliance Manager …

LMA Recruitment
new

in Singapore
Permanent, Full time
Be the first to apply
4500-5500 per month
LMA Recruitment
new

in Singapore
Permanent, Full time
Be the first to apply
4500-5500 per month
LMA Recruitment
Our client is a boutique fund house seeking for a Risk and Compliance Manager to join the team.

Responsibilities:

  • Fund registration (for new jurisdictions, new share classes etc) and Fund renewal (for existing jurisdictions). Handle refresh of documents such as prospectus, product highlight sheets, KIIDs, regulatory forms etc.
  • Due Diligence Checks on distributors, introducers, staffs, fund administrators, and other material third parties
  • Pre-trade and Post-trade compliance checks, including screening against sanction lists using World Check
  • Ensure compliance with new and revised regulatory requirements – MAS (Acts, Notices, Circulars, Announcements, Guidelines etc), EU/CBI, FCA, DFSA, FINMA and others
  • Regulatory reporting (periodic and ad-hoc returns, surveys and questionnaires) – MAS, CBI, FCA, DFSA/DIFC
  • Provide periodic compliance reporting to various external stakeholders and head office; and review of compliance reports from fund administrators
  • Review and update of policies relating to Risk and Compliance
  • Board meeting preparation on Risk and Compliance matters
  • Manage internal and external auditors
  • Maintenance of various registers (e.g. enterprise wide risk registers, employee personal trading logs, Register of MAS representative, E-learning status, complaints register etc)
  • ESG compliance review on the portfolio holdings
  • Any other ad-hoc assignments

 

Requirements:

  • Basic knowledge in financial instruments (including equity, bonds, common types of financial derivatives), fund industry
  • Attention to details, positive attitude, hardworking
  • Ability to prioritise, multi-task and good project management skills
  • Good communication skills and ability to manage different stakeholders to balance conflicting interests
  • Good Microsoft Office skills, especially Excel and Word

 

Company Reg No.: 201131609D, Licence No.: 11C4684, EA Reg no: R1110919

Company Overview

Big enough to find the best.

Small enough to really know them.

It’s easy to get pompous about what we do. To name drop our global clients or wax lyrical about ‘pioneering psychometric testing’. But if you’re not careful, you lose sight of what’s really important; relationships and people.

Without relationships, you don’t truly understand the client, their business culture and who they really need. You miss the nuances of each candidate, the human behind the CV and what makes them tick. And the ‘right fit’ slowly starts to blister.

Since 1999, LMA has supplied great candidates to blue-chip businesses in London and Singapore. We draw on in-depth market intelligence and use industry-leading tools to search, screen and select. We have specialist consultants and a global network. And we’re professional beyond measure. 

But we never lose sight of what matters; how important the right people are to businesses, and the right careers are to people.

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