Role Overview
We are seeking an experienced Risk & Compliance professional to support the Head of Risk & Compliance in implementing effective risk management strategies and ensuring regulatory compliance. The role involves providing expert guidance, overseeing day-to-day operations, and promoting a strong risk and compliance culture across the organisation.
Responsibilities
Risk & Compliance Strategy
- Support the Head of Risk & Compliance in developing and implementing risk management strategies and compliance controls that align with the Company's objectives and risk appetite.
- Act as a subject matter expert, providing guidance on business initiatives, plans, and transactions from a risk and compliance perspective.
Operational Oversight & BAU Activities
- Perform daily Risk & Compliance operations, including but not limited to:
- Conflicts of interest management
- KYC review during onboarding, periodic reviews, and triggering events
- AML transaction monitoring and name screening
- Investigations and filing of suspicious transaction reports
- Complaints handling
- Investment sales suitability
- Outsourcing or third-party risk management
- Business Continuity Management
- Regulatory reporting and advisory support
- Ensure proper documentation, reporting, and escalation processes.
Regulatory Liaison & Reporting
- Assist in the preparation of reports for regulatory submissions and reporting.
- Attend to regulator and auditor queries, providing timely and accurate information.
Training & Culture
- Conduct internal training on risk and compliance topics.
- Promote a strong risk and compliance culture throughout the organization.
Requirements
- Minimum 8–12 years of relevant experience in risk and compliance within Wealth Management, Private Banking, or External Asset Management.
- Strong knowledge of Singapore regulations (SFA, FAA, PDPA, MAS Notices) and international best practices.
- Experience interpreting complex regulatory requirements into actionable business solutions.
- Strong analytical, communication, and interpersonal skills.
- Ability to lead and mentor junior staff, work independently, and adapt to a fast-paced environment.
- Bachelor's degree in Business, Law, Finance, Economics, or a related field.
- Industry certifications (e.g., ACAMS) is a plus.
