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first plus asset management

Manager/AVP/VP, Risk & Compliance

first plus asset management
Singapore
3-5 Years
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Job Description

We're looking for a Manager/AVP/VP level Risk & Compliance officer to join our fast-growing team. This would be a unique opportunity for a compliance professional to work on a board range of regulatory and investment risk as well as compliance related issues of the fund management business.

Key Responsibilities

  • Monitor regulatory developments and update/develop policies and procedures to ensure the company's compliance with regulatory requirements.
  • Manage regulatory and internal/group reporting and relevant MAS submissions.
  • Set up and implement an effective compliance monitoring program.
  • lead AML/KYC/CDD work, identify & escalate risks to management, when necessary, produce & maintain relevant KYC/CDD records
  • Get involved in fund launch and business development to identify regulatory risks
  • Conduct investment compliance monitoring to ensure that the mandates/ funds managed by the company comply with relevant client and regulatory investment restrictions.
  • Review marketing materials and client correspondences for compliance with internal and regulatory requirements.
  • Review and approve staff trading requests in accordance with the company policy.
  • Review fund offering documents/ fund reports for compliance with regulatory requirements and risk disclosures.
  • Conduct staff training on compliance and regulatory issues/ requirements. Participate in ad-hoc Group and regulatory compliance projects
  • Assist Risk Committee in implementing risk management policies and procedures
  • Assis in investment portfolio risk analysis and monitoring
  • Assist in the Company's external & internal audits from internal control and compliance perspective

Requirements

  • Minimal 3 years of post-qualification compliance related experience ideally from a financial institution including banks, asset managers and fund managers; or from audit firms
  • Familiar with relevant MAS guidelines for capital market intermediary
  • Someone who has self-initiative and commitment, want to take responsibilities and own policies and processes
  • Good communication and writing skills in English; Being able to speak/read Chinese would be a plus.
  • Strong interpersonal skills and a good team player.
  • Strong analytical and evaluative skills and attention to details.
  • Good computer skills in MS Excel, ACCESS, Word & Powerpoint

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More Info

Job Type:
Permanent Job
Industry:
Other
Function:
Risk Compliance
Employment Type:
Full time

Job ID: 151389163

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Last Updated: 20-07-2026 06:23:42 PM
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