Assistant Manager, Risk & Compliance

Responsibilities:

• Drive the adoption of AI, automation and emerging technology solutions for the department and the wider firm, through the identification of transformation opportunities across workflows, and the design and implementation of use cases.
• Preparing regular risk and performance reports for the investment team, senior management and the Board of 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 ESG risk management framework, policy compliance and monitoring processes.
• 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:

• Good understanding of AI, automation and emerging technologies, preferably with hands-on experience in change management and deployment of AI-enabled solutions.
• Comfortable working with coding, data, dashboards, and deriving actionable insights.
• Minimum of two (2) years of work experience in risk and compliance, preferably in the asset management industry.
• Knowledge of applicable statute, rules and regulations, such as the Securities and Futures Act, MAS Codes, Notices and Guidelines, and AML/CFT regulations.
• Familiarity with Bloomberg and its risk management modules such as CMGR (preferred).
• Exposure to ESG risk management framework (preferred).