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 gain risk management experience and work on a board range of risk and compliance related issues of the fund management business Or vice versa for a risk professional.
Key Responsibilities Include
- Monitor regulatory developments and develop policies and procedures to ensure the company's compliance with regulatory requirements.
- Update the company's compliance manual and provide advice to the business on compliance with regulations/laws.
- Manage regulatory and internal/group reporting and submissions.
- Set up and implement an effective compliance monitoring program.
- Review and approve AML/KYC documentation.
- Conduct staff training on compliance and regulatory issues/ requirements. Participate in ad-hoc Group and regulatory compliance projects
- 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.
- Handle representative registration-related matters.
- Review fund offering documents/ fund reports for compliance with regulatory requirements.
- Assist Risk Committee in implementing risk management policies and procedures
- Get involved in product development to identify risk factors
- Calculate & Monitor portfolio risk metrics such as VAR, DV01 etc.
- Conduct portfolio stress testing, risk scenario analysis etc.
- Monitor portfolio liquidity position, trade execution & settlement
- Other ad-hoc risk projects
- Help analyse portfolio performance & validate valuation of illiquid investments
- Minimal 5 years of post-qualification compliance related experience
- For compliance professional, experience in AML/KYC and familiar with MAS relevant guidelines for financial service industries
- For risk professional, have knowledge on Securities and financial derivatives and their valuation and risks; understand risk concepts such as VAR, stress testing, etc.
- Someone who has self-initiative and commitment
- Good communication and writing skills in English and Chinese.
- 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