Risk & Compliance Executive - #1102429

Responsibilities:

• Preparing regular risk and performance reports for the investment team, senior management and the 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 portfolio ESG risk management framework, policy compliance and monitoring processes, in close collaboration with internal and external stakeholders.

• 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:

• Knowledge of all applicable statute, rules and regulations for the fund management industry, such as the Securities and Futures Act, Financial Advisers Act, MAS Codes, Notices and Guidelines, and AML/CFT regulations.

• Familiarity with Bloomberg and its risk management modules such as CMGR (preferred).

• Exposure to formulation of portfolio ESG risk management framework (preferred).

• Minimum of three (3) years of work experience in either risk, compliance, operations or accounting.

• Good writing and communication skills.

• High sense of responsibility and integrity.

• Positive attitude and willingness to learn.