Risk & Compliance Manager

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 or risk professional to work on a board range of regulatory risk and compliance related issues of the fund management business.

Key Responsibilities Include

  • 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 product 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.
  • 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


  • Minimal 3 years of post-qualification compliance related experience ideally from a financial institution including banks, asset managers and fund managers
  • 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