Manager, Compliance - #1174573

ABOUT THE ROLE

You will report to the Director of Risk and Compliance of Ascend Asia Financial Services (AAFS), who reports to the Chief Risk and Compliance Officer of AAFS, who reports to Chief Executive Officer of AAFS.

WHAT YOU’LL DO

1. Support Operating Company’s Risk and Compliance Function. This involves being deployed to specific Operating Company for a period of time to carry out Risk and Compliance activities which may include the following:

• Regulatory Compliance & Advisory
• Anti-money laundering and counter financing of terrorism
• Independent Sales Audit for Balanced Scorecard
• Market Conduct Investigation
• Risk Management
• Policy Governance
• Surveillance and Reviews
• Regulatory Liaison
• Stakeholder Management to align interests

2. Carry out Risk and Compliance Function as part of Shared Services. This involves carrying out the Risk and Compliance activities to support multiple Operating Companies across the Group.

• Ensure that services provided to Operating Companies are delivered in accordance with regulatory requirements, governance frameworks and service scope.
• Ensure that controls are designed properly and implemented consistently for the delivery of the services.
• Maintain clear delineation of responsibilities, ensuring that regulatory accountability remains with each respective Operating Company and its appointed representatives.
• Develop and maintain policies, SOP, controls, and best practices for AAFS, while considering Operating Company-specific requirements.
• Provide comprehensive and timely information, walkthroughs, presentations, documentation, and inputs to Operating Companies for responding to queries, reporting, audits, and inspections
• Maintain good working relationship with Head of Compliance of Operating Companies and his/her designates, and Risk and Compliance Function of Ascend Asia Financial Services.
• Conduct training programmes for representatives and staff of Operating Companies

3. Driving the right Risk and Compliance culture

• Promote a strong risk and compliance culture aligned with fair dealing outcomes and regulatory conduct as set out in the Regulatory Compliance Policy and the Code of Ethics.

4. Other Duties/Projects

• Perform any other duties and responsibilities as may be assigned from time to time by AAFS Risk and Compliance, including duties arising from evolving business needs, regulatory requirements, or Group initiatives.

5. Leadership & Stakeholder Management

• Where assigned, lead and mentor the designated Risk and Compliance team within AACS to deliver the agreed business outcomes.
• Engage Head of Risk and/or Compliance of Operating Companies to ensure that he/she is kept abreast of the risk and/or compliance observations.
• Provide regular reporting to support Senior Management and Board reporting on risk and compliance matters and key developments.

WHAT’S IN IT FOR YOU

• Competitive remuneration
• Flexi-Benefits
• A workplace environment that fosters collaboration and interactions with others
• Opportunity to work with various teams