Distribution Risk & Compliance Manager

About the company
Our client is a prominent international financial institution dedicated to providing comprehensive advisory services and wealth management solutions. They maintain a strong market presence and are committed to upholding the highest standards of professional integrity and operational excellence.

About the job

This role offers a pivotal opportunity to oversee regulatory frameworks and risk mitigation strategies within a leading financial distribution channel.

• Execute comprehensive regulatory assessments and gap analyses to ensure alignment with local financial industry standards.

• Monitor sales conduct and distribution activities to maintain the integrity of professional advisory frameworks.

• Deliver expert guidance on financial legislation and internal policies to various business units and stakeholders.

• Manage anti-money laundering protocols, including risk assessments and transaction surveillance.

• Coordinate business continuity planning and risk control self-assessment exercises to enhance operational resilience.

Skills and experience required

To succeed in this role, you should possess a strong background in regulatory compliance within the financial advisory space.

• At least 5 years of professional experience in compliance roles encompassing distribution, regulatory affairs, and anti-money laundering.

• In-depth knowledge of financial advisory notices and prevailing local regulatory frameworks.

• Proven proficiency in data protection regulations and integrated risk management functions.

• Exceptional communication abilities with a track record of effective collaboration across diverse business departments.

• Relevant professional certifications in compliance or risk management will be highly regarded.

To apply online please use the apply function, alternatively you may contact Lynette Lim.
(EA: 94C3609/ R1435181 )