Total 25 Manager financial planner job vacancies in Quality Assurance / Control category in Malaysia

About the Role 
As Financial Assurance Manager, you will be overseeing financial assurance tasks throughout the ASPAC Division and fostering a culture of control and process enhancement. You will report into the ASPAC Group Financial Controller and collaborate closely with the Group Assurance team based in the UK. 
Key Responsibilities Include:

Developing, implementing, and managing the ASPAC financial assurance program, identifying key risks and areas of non-compliance, and proposing practical solutions within the overall control framework
Proactively ensuring compliance with the Group Finance Control Manual, raising awareness of financial and operational matters, fostering a culture of ongoing improvement, and promoting efficiency in processes and finances
Cultivating and maintaining strong relationships with finance and operational sites, as well as across the broader organization
Offering valuable support, guidance, and advice to stakeholders throughout the organisation
Contributing to the establishment of effective corporate governance
... Click here to view more detail / apply for Financial Assurance Manager

Job Description:

Our client, a global financial firm, is seeking a highly skilled and experienced FCC Data analytics manager to join their dynamic team. As a FCC Data analytics manager, you will play a crucial role in building and enhancing their AML monitoring frameworks, implementing transaction monitoring surveillance systems, and utilizing quantitative analytics to improve the effectiveness of our AML system. You will gain the opportunity to work with skllful global leaders, establishing and pioneering the ever-growing financial industry.

Responsibilities:

• Develop and implement transaction monitoring surveillance systems and customer risk rating models.
• Conduct innovative research and design on AML monitoring frameworks using quantitative analytics and data techniques.
• Develop engines for automatic AML detection threshold tuning to ensure quick reaction to continuous risk changes.
• Provide quantitative analytics support to compliance officers during regulatory visits and enquiries.
• Collaborate with Product & Technology team to improve model effectiveness and extend AML defense line through AI and ML applications.
• Govern anti-money laundering-related risks and formulate identification/disposal strategies.
• Conduct suspicious transaction analysis and write risk/model assessment reports.

Requirements:

• Bachelor's degree or above in computer science/engineering, statistics, mathematics, finance, or similar fields.
• At least 3 years' experience in AML/risk control/fraud management in financial or payments industry,consulting firms, or similar industries.
• Familiarity with domestic and international AML regulatory requirements and money laundering features, motions, and patterns.
• Proficiency in data handling coding (e.g., SQL) and at least one professional analytics tool such as SAS, Python, etc.
• Strong project management skills and ability to lead teams to achieve business goals.
• Excellent communication skills, ability to work under pressure, and a result-oriented mindset.
• Ability to speak in Mandarin

AYASA Globo Financial Services is a “one-stop” platform which provides comprehensive and total solutions to hedge funds, private equities, family offices and financial institutions. We are also a pioneer in crypto fund setup and administration with actual hands-on experience. To cope with the operation expansion in Singapore, we are seeking a high calibre professional to join our Singapore Compliance Team.

Job Responsibilities:

· Handle the enquiry from the customer regarding regulatory and AML/CFT compliance of MAS license.

· Liaise with MAS on compliance matters (e.g. VCC, FMC license application for the clients).

· Ensure prompt and accurate compliance relevant regulatory reporting submissions to MAS.

· Provide advice in the development and implementation of policy, governance and regulatory standards and frameworks related to MAS license.

· Responsible for general oversight of MAS regulatory compliance and Anti-Money Laundering / Counter Financing of Terrorism (AML/CFT)

· Ensure staff actively monitor MAS regulatory developments, trends in the market, and develop or update policies and procedures to ensure adherence and compliance with the laws and regulations

· Build and maintain strong, long-term relationships with assigned clients

· Regularly communicate with clients to understand their needs and provide solutions that align with their goals in a timely and professional manner

· Assist clients in the onboarding process, ensuring a smooth transition into our services

Job Requirements:

- At least 2 years’ experience in VCC, FMC license application and AML/KYC/regulatory compliance

- Ability to be AML officer for the clients

- Experienced working in service provider environment will be a plus

- Candidates with less experience will be considered as Assistant Compliance Manager

- Fluent in written and spoken English, Mandarin. Ability to communicate in Cantonese will be an advantage.

- Attention to detail and good time management

- Excellent in communications and interpersonal skills

- Ability to work independently, meticulous, dedicated and self-motivated with good manners

- Immediate availability is highly preferred

Benefits:

5-day work

Bank holidays

Medical insurance

Discretionary bonus and commission scheme are available

Interested candidate please click APPLY NOW to apply online or send your resume to this email: pszeto@ayasaglobo.sg

"All applications will be treated in strict confidence. Personal data provided in the applications will only be used for recruitment-related purposes. All information on non-shortlisted applicants will be destroyed after 6 months

AYASA Globo Financial Services is a “one-stop” platform which provides comprehensive and total solutions to hedge funds, private equities, family offices and financial institutions. We are also a pioneer in crypto fund setup and administration with actual hands-on experience. To cope with the operation expansion in Singapore, we are seeking a high calibre professional to join our Singapore Compliance Team.

Job Responsibilities:

· Handle the enquiry from the customer regarding regulatory and AML/CFT compliance of MAS license.

· Liaise with MAS on compliance matters (e.g. VCC, FMC license application for the clients).

· Ensure prompt and accurate compliance relevant regulatory reporting submissions to MAS.

· Provide advice in the development and implementation of policy, governance and regulatory standards and frameworks related to MAS license.

· Responsible for general oversight of MAS regulatory compliance and Anti-Money Laundering / Counter Financing of Terrorism (AML/CFT)

· Ensure staff actively monitor MAS regulatory developments, trends in the market, and develop or update policies and procedures to ensure adherence and compliance with the laws and regulations

· Build and maintain strong, long-term relationships with assigned clients

· Regularly communicate with clients to understand their needs and provide solutions that align with their goals in a timely and professional manner

· Assist clients in the onboarding process, ensuring a smooth transition into our services

Job Requirements:

- At least 2 years’ experience in VCC, FMC license application and AML/KYC/regulatory compliance

- Ability to be AML officer for the clients

- Experienced working in service provider environment will be a plus

- Candidates with less experience will be considered as Assistant Compliance Manager

- Fluent in written and spoken English, Mandarin. Ability to communicate in Cantonese will be an advantage.

- Attention to detail and good time management

- Excellent in communications and interpersonal skills

- Ability to work independently, meticulous, dedicated and self-motivated with good manners

- Immediate availability is highly preferred

Benefits:

5-day work

Bank holidays

Medical insurance

Discretionary bonus and commission scheme are available

Interested candidate please click APPLY NOW to apply online or send your resume to this email: pszeto@ayasaglobo.sg

"All applications will be treated in strict confidence. Personal data provided in the applications will only be used for recruitment-related purposes. All information on non-shortlisted applicants will be destroyed after 6 months

- Must have market risk, capital markets or vendor background (trading / risk application) to be considered (eg, murex, calypso) – Any considered

- Sydney based

- Permanent position





The FRTB program encompasses both the reimplementation of the Bank's market data system for Basel 2.5 as well as the implementation of a new market data system of both FRTB SA and FRTB IMA.






Responsibilities:

The candidate will be responsible for the test management of the Basel 2.5 market risk engine implementation at the beginning and later on of the FRTB implementation.

This includes:

• Leading, guiding and monitoring the analysis, design, implementation and execution of the test cases, test procedures and test suites.

• Supervising the configuration management of test environments

• Scheduling tests for execution and then monitoring, measuring, controlling, and reporting on the test progress, the product quality status and the test results

• Adapting test plans and compensating as needed to adjust to evolving conditions.

• Writing summary reports on test status.

• Implementing testing process excellence & expertise across our application portfolio

• Engaging with external teams on test requirements, planning and cases

• Deploying and managing resources for testing.

• Managing testing results by coaching, counselling, and providing constructive feedback.

• Implementing automated business regression testing capability

• Upskilling business knowledge in the testing team and ensuring this knowledge is applied in impact/risk assessments and test cases.

• Applying a risk-based approach to testing processes and assuring there is no degradation in our application SLA's.

• Introduce & link data controls, especially to regulatory Critical Data Elements (CDE's)



Mandatory Skills Description:

Must have market risk, capital markets or vendor background (trading / risk application) to be considered (eg, murex, calypso)

• 8+ years' relevant experience in a similar role

• Experience writing test plans and test cases in the database and data analytics spaces.

• Project delivery experience

• Hands-on SQL skills with exposure to complex joins.

• experience of integration, functional, non-functional & user acceptance testing

• Excellent presentation and planning skills - Should be familiar with Microsoft tools like PPT, Visio etc.

• Experience with MS Word, Excel, Project Management and Analytics software

• Experience working in Agile / Scrum teams

• Previous exposure to scheduling tools

• Understanding of how relational databases operate



Nice-to-Have Skills:

• Strong attention to detail.

• Driven to deliver - proven ability to deliver the best possible results for the organisation; and shows determination, resourcefulness and a sense of purpose in achieving this

Project Description:

We've been engaged by a large Australian financial institution to provide resources for a range of Murex projects.

Joining this program you will have the benefit of working with an established team working directly with onsite staff, fully involved in the project initiation through to project implementation.


Responsibilities:

The candidate will be responsible for the test management and our systems. Must know how to organise testing E2E and document a testing strategy.

Understand the business requirements and lead the test team accordingly, This includes:

• Leading, guiding and monitoring the analysis, design, implementation and execution of the test cases, test procedures and test suites.

• Supervising the configuration management of test environments

• Scheduling tests for execution and then monitoring, measuring, controlling, and reporting on the test progress, the product quality status and the test results

• Adapting test plans and compensating as needed to adjust to evolving conditions.

• Writing summary reports on test status.

• Implementing testing process excellence & expertise across our application portfolio

• Engaging with external teams on test requirements, planning and cases

• Deploying and managing resources for testing.

• Managing testing results by coaching, counselling, and providing constructive feedback.

• Implementing automated business regression testing capability

• Upskilling business knowledge in the testing team and ensuring this knowledge is applied in impact/risk assessments and test cases.


Mandatory Skills Description:

• 8+ years' relevant experience in a similar role Murex Testing role

• Experience with MxTest

• Experience in leading large test teams

• Experience writing test plans and test cases in the database and data analytics spaces.

• Hands-on SQL skills with exposure to complex joins.

• experience in integration, functional, non-functional & user acceptance testing

• Excellent presentation and planning skills - Should be familiar with Microsoft tools like PPT, Visio etc.

• Experience working in Agile / Scrum teams

• Previous exposure to scheduling tools


Nice-to-Have Skills:

• Strong attention to detail.

• Driven to deliver - proven ability to deliver the best possible results for the organisation; and shows determination, resourcefulness and a sense of purpose in achieving this

Manager Financial Crime Compliance Risk Assessments

See yourself in our team

The Financial Crime Compliance team (FCC) is a combined Risk function designed to support, build and enhance sustainable and effective financial crime capability and operations within the Bank, to ensure compliance and effective risk management.

The FCC Risk Assessments team is a group of full time risk professionals tasked with undertaking detailed risk assessments of various work items predominantly pertaining to Issue and Incident Management. The team identifies risk causes, themes and trends, and liaise with Line 2 Advisory teams, Line 1 businesses and make recommendations to the leadership team in FCC.

Do work that matters:

The Manager will be responsible for establishing and managing risk assessments and prioritisation of all FCC risk items including incidents and issues for the CBA Group. The Manager will also undertake risk assessments on new and existing work in the FCC pipeline to inform senior management and various committees as to the materiality, cause(s) and any recommended remediation arising from any given risk item.

Additionally, this role will provide support in ensuring all policy and related documentation concerning the assessment methodology meets relevant Australian, CBA and regulatory standards and expectations.

On any given day, you will

• Assess risk items to determine compliance with FCC Group Policies, Standards and regulatory obligations.
• Conduct compliance impact assessments over financial crime incidents.
• Conduct analysis and determine outcomes to support Line 2 review and challenge/approve.
• Engage with and provide support and guidance to Business and Support Units and the Program of Action on Issue and Incident Management.
• Produce management reporting and insights into financial crime incidents to various senior management committees.
• Assist in the development, update and maintenance of FCC standard operating procedures, templates and the compliance impact assessment methodology.
• Support in the identification and uplift of controls across financial crime.
• Support in the performance and/or testing of Key Controls supporting FCC's Business Profile.
• Provide support in ad-hoc projects, regulatory on-sites and risk in change tasks that require team action.
• Mentor, coach and support other FCC colleagues on the delivery of financial crime Issues and Incidents
• Maintain metrics with a focus of continual improvement including automation and innovation initiatives

We are interested in hearing from people who have

• Previous experience in a Line 2 Financial Crime Compliance role is required
• Sound knowledge and experience of the Financial Crime regulatory landscape - AML/CTF, Sanctions, Bribery & Corruption is essential
• A strong understanding of operational risk and compliance frameworks including control design
• Exceptional verbal and written communication skills
• Experience in report writing and executive level briefing papers
• Degree qualified in Finance, Business, Law or relevant discipline is preferred
• Relevant industry accreditation or certificate is desirable (AFMA, ACAMs, etc) is preferred

If this sounds like your next career opportunity, we’d love to hear from you.

Working at CommBank

At CommBank, we support our people with the flexibility to balance where work is done with at least half their time each month connecting in office. We also have many other flexible working options available including changing start and finish times, part-time arrangements and job share to name a few. Talk to us about how these arrangements might work in the role you’re interested in.

Advertising End Date: 14/03/2024

AYASA Globo Financial Services is a “one-stop” platform which provides comprehensive and total solutions to hedge funds, private equities, family offices and financial institutions. We are also a pioneer in crypto fund setup and administration with actual hands-on experience. To cope with the operation expansion in Singapore, we are seeking a high calibre professional to join our Singapore Compliance Team.

Job Responsibilities:

· Handle the enquiry from the customer regarding regulatory and AML/CFT compliance of MAS license.

· Liaise with MAS on compliance matters (e.g. VCC, FMC license application for the clients).

· Ensure prompt and accurate compliance relevant regulatory reporting submissions to MAS.

· Provide advice in the development and implementation of policy, governance and regulatory standards and frameworks related to MAS license.

· Responsible for general oversight of MAS regulatory compliance and Anti-Money Laundering / Counter Financing of Terrorism (AML/CFT)

· Ensure staff actively monitor MAS regulatory developments, trends in the market, and develop or update policies and procedures to ensure adherence and compliance with the laws and regulations

· Build and maintain strong, long-term relationships with assigned clients

· Regularly communicate with clients to understand their needs and provide solutions that align with their goals in a timely and professional manner

· Assist clients in the onboarding process, ensuring a smooth transition into our services

Job Requirements:

- At least 2 years’ experience in VCC, FMC license application and AML/KYC/regulatory compliance

- Ability to be AML officer for the clients

- Experienced working in service provider environment will be a plus

- Candidates with less experience will be considered as Assistant Compliance Manager

- Fluent in written and spoken English, Mandarin. Ability to communicate in Cantonese will be an advantage.

- Attention to detail and good time management

- Excellent in communications and interpersonal skills

- Ability to work independently, meticulous, dedicated and self-motivated with good manners

- Immediate availability is highly preferred

Benefits:

5-day work

Bank holidays

Medical insurance

Discretionary bonus and commission scheme are available

Interested candidate please click APPLY NOW to apply online or send your resume to this email: pszeto@ayasaglobo.sg

"All applications will be treated in strict confidence. Personal data provided in the applications will only be used for recruitment-related purposes. All information on non-shortlisted applicants will be destroyed after 6 months

Job Family:

Investigator

Travel Required:

Up to 10%

Clearance Required:

None

Financial Crimes Compliance Manager

Opportunities available for Supervisors (Leads) and Managers

What You Will Do:

Guidehouse is seeking an experienced compliance supervisor to serve as a Team Lead overseeing a team Senior Analysts and Analysts executing BSA/AML/Sanctions and regulatory compliance functions on behalf of our clients. The Financial Crimes Compliance Supervisor will be responsible for driving team performance and quality.  

The responsibilities will include:

• Manage and supervise a team of Senior Analysts and Analysts, executing across a variety of regulatory compliance and financial crime-related functions, to include, but not limited to, Bank Secrecy Act (BSA), Anti-Money Laundering, Office of Foreign Asset Controls (OFAC), Know Your Customer (KYC), including Identification Verification (ID&V), Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), and Ongoing Monitoring, and/or fraud investigations for our client.
• Oversee team performance regarding production and quality.
• Support Managers and senior leadership with service delivery efforts, such as tracking key performance indicators, developing training materials, and evaluating performance, as appropriate.
• Perform quality assurance reviews of team’s work product in accordance with client QA expectations.
• Accurately and thoroughly assessing team, work product quality and leveraging practices consistent with industry standards to provide coaching and constructive feedback to team to ensure quality decisions and appropriate review of potential illegal activity. 
• Monitor and manage work queues across processes and prioritize assignments to minimize operational impact.
• Monitor, manage and communicate production metrics on an individual and team level across project resources.
• Create and present quality deliverables that support essential project workstreams. 
• Provide guidance to analysts based on client expectations and prior subject matter experience.
• Lead training efforts to ensure consistency and quality across the team through large and small group meetings and 1-on-1 discussions.
• Consistently monitor the assigned team for effectiveness and efficiency and target areas of weakness.
• Serve as performance manager for junior team members.
• Other ad hoc project responsibilities, as needed.

What You Will Need:

• Bachelor’s degree from an accredited college/university and a minimum of 5-7 years relevant experience (level dependent) OR 9-11+ years of experience in lieu of a degree (level dependent).
• Strong leadership and time management skills.
• Ability to manage and prioritize several tasks simultaneously and autonomously.  
• Subject matter expertise /investigative experience in the areas of Financial Crimes Compliance such as OFAC Sanctions, Anti-Money Laundering, KYC, CDD, EDD and/or Financial Fraud Investigations.
• Understanding of the legal, corporate governance, and regulatory environment related to the BSA and USA PATRIOT Act, as well as knowledge of industry practices for operationalizing controls.
• Strong written and verbal communication skills including developing presentations for different audiences (Client Stakeholders, Senior Level Executives, Guidehouse Leadership).
• Strong proficiency in Microsoft Excel and other Microsoft Suite Products.
• Ability to quickly learn and adapt to new policies, procedures, and vendor systems.
• Ability to handle privileged and confidential information.
• Ability to deliver clear, constructive feedback and driving both individual and team performance.
• A demonstrable willingness to work more than 40 hours when needed.

What Would Be Nice To Have:

• CAMS certification.
• End to end understanding of Transaction Monitoring/ Screening/ Fraud Operations/ SAR Reporting/Identification and Verification of Customers, KYC, CDD and EDD.
• Experience conducting quality assurance reviews related to financial crime investigations.

What We Offer:

Guidehouse offers a comprehensive, total rewards package that includes competitive compensation and a flexible benefits package that reflects our commitment to creating a diverse and supportive workplace.

Benefits include:

• Medical, Rx, Dental & Vision Insurance

• Personal and Family Sick Time & Company Paid Holidays

• Position may be eligible for a discretionary variable incentive bonus

• Parental Leave

• 401(k) Retirement Plan

• Basic Life & Supplemental Life

• Health Savings Account, Dental/Vision & Dependent Care Flexible Spending Accounts

• Short-Term & Long-Term Disability

• Tuition Reimbursement, Personal Development & Learning Opportunities

• Skills Development & Certifications

• Employee Referral Program

• Corporate Sponsored Events & Community Outreach

• Emergency Back-Up Childcare Program

About Guidehouse
Guidehouse is an Equal Employment Opportunity / Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, national origin, ancestry, citizenship status, military status, protected veteran status, religion, creed, physical or mental disability, medical condition, marital status, sex, sexual orientation, gender, gender identity or expression, age, genetic information, or any other basis protected by law, ordinance, or regulation.

Guidehouse will consider for employment qualified applicants with criminal histories in a manner consistent with the requirements of applicable law or ordinance including the Fair Chance Ordinance of Los Angeles and San Francisco.

If you have visited our website for information about employment opportunities, or to apply for a position, and you require an accommodation, please contact Guidehouse Recruiting at 1-571-633-1711 or via email at RecruitingAccommodation@guidehouse.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodation.

Guidehouse does not accept unsolicited resumes through or from search firms or staffing agencies. All unsolicited resumes will be considered the property of Guidehouse and Guidehouse will not be obligated to pay a placement fee.

Responsibilities:

· Prepare and review compliance handbook

· Handle MAS filings and inquiries from regulatory bodies

· Perform regular compliance checking to ensure compliance with regulatory requirements

· Handle KYC and AML-related matters as well as client onboarding compliance check

· Provide relevant advisory to business/support units and other AML teams on matters relating to compliance issues, transaction monitoring review and investigation conducted by the unit

· Perform analysis of suspicious transaction/activity reports to identify AML risk trends to support the AML risk management and controls within the Group

· FATCA / CRS reporting in accordance with relevant requirements

· Handle CPT related matters, such as update of CPT register

· Develop regulatory governance frameworks, policies, and procedures to effective management of regulatory risks for company, clients

· Facilitate and address any MAS queries and external authorities, as well as internal and external audits

· Familiar with outsourcing guidelines and prepare relevant policies, procedures and documents in compliance with MAS regulations and guidelines

· Undertake other ad-hoc duties as assigned

Requirements:

· University Degree in Business, Law, Finance or related disciplines

· At least 5 years of strong compliance experience in local regulatory compliance and risk management, with demonstrable knowledge of relevant regulatory requirements

· Strong knowledge or prior experience in key regulatory requirements such as the Securities & Futures Act, Financial Advisers Act, MAS Notices and Guidelines, and AML/CFT regulations

· Work independently, self-motivated, strong analytical skills and ability to exercise sound judgment and manage execution under pressure

· Familiar with FATCA and CRS reporting is preferred

· Effective communicator in both English and Mandarin to liaise with Mandarin speaking clients

We believe that challenges are better solved together. That's why you'll join a diverse, global community of solvers - an unexpected mix of people that come together to build trust in society and solve important problems. With us, you are encouraged to lead with your heart and values, and where your unique skills are developed and put to work in unexpected and exciting ways, superpowered by technology.

Our Financial Services Assurance Practice works with organisations to strengthen trust and transparency by building, maintaining and providing trust over financial reporting in a fast changing, technology-driven world. As Asia’s top financial services practice, our audit approach is at the leading edge of best practice. We draw upon our extensive industry knowledge for our clients including top blue chip companies in the asset management, banking, capital markets, and insurance sectors. We provide our clients with insights, empowered by leading technologies, into marketplace developments and global opportunities.

Key responsibilities:

• Coach and manage teams of professionals in carrying out a variety of assurance engagements;
• Forge relationships within the industry and contribute to the continued success of the teams;
• Develop and facilitate the professional growth of the team members; and
• Involvement in a wide range of advisory projects in the Banking & Capital Markets, Insurance and Asset Management industries.

Requirements:

• Relevant accounting qualifications
• 5-8 years of demonstrable experience in a similar role at a Big 4 accounting firm
• Experience in statutory and regulatory audits of Banking & Capital Markets, Insurance and Asset Management clients
• Sound understanding of IFRS/SFRS and SAS/ISA. US GAAP knowledge would be useful
• Excellent project management and team working skills
• Strong interpersonal, written and verbal communication skills
• Ability to demonstrate an understanding of commercial issues facing businesses in this sector
• Effective day-to-day management of clients; building and maintaining client relationships is crucial

*Only shortlisted candidates will be notified due to the high number of applicants for this role.

We believe that challenges are better solved together. That's why you'll join a diverse, global community of solvers - an unexpected mix of people that come together to build trust in society and solve important problems. With us, you are encouraged to lead with your heart and values, and where your unique skills are developed and put to work in unexpected and exciting ways, superpowered by technology.

Our Financial Services Assurance Practice works with organisations to strengthen trust and transparency by building, maintaining and providing trust over financial reporting in a fast changing, technology-driven world. As Asia’s top financial services practice, our audit approach is at the leading edge of best practice. We draw upon our extensive industry knowledge for our clients including top blue chip companies in the asset management, banking, capital markets, and insurance sectors. We provide our clients with insights, empowered by leading technologies, into marketplace developments and global opportunities.

Key responsibilities:

• Coach and manage teams of professionals in carrying out a variety of assurance engagements;
• Forge relationships within the industry and contribute to the continued success of the teams;
• Develop and facilitate the professional growth of the team members; and
• Involvement in a wide range of advisory projects in the Banking & Capital Markets, Insurance and Asset Management industries.

Requirements:

• Relevant accounting qualifications
• 8 -11 years of demonstrable experience in a similar role at a Big 4 accounting firm
• Experience in statutory and regulatory audits of Banking & Capital Markets, Insurance and Asset Management clients
• Sound understanding of IFRS/SFRS and SAS/ISA. US GAAP knowledge would be useful
• Excellent project management and team working skills
• Strong interpersonal, written and verbal communication skills
• Ability to demonstrate an understanding of commercial issues facing businesses in this sector
• Effective day-to-day management of clients; building and maintaining client relationships is crucial

*Only shortlisted candidates will be notified due to the high number of applicants for this role.

Job Description & Requirements

Brief:

The Compliance and Risk Management Manager will be overall responsible for the company's Compliance and Risk Management. The role is to manage the development and enhancement of operational risk and control within Operations Management Group .To work with the Board and in every aspect of the business including regulatory compliance matters..

Major Responsibilities

• Oversee the general compliance.
• Ensure daily operations comply with Singapore (MAS) and/or other regulatory requirements in different markets (Hong Kong, US and Australia etc. )
• Carry out regular compliance check at front, middle and back offices.
• Perform and review regular compliance checking.
• Review and investigate Trade and Communication surveillance alerts.
• Review, revising and drafting internal manuals, policies and procedures to ensure in compliance with rules and regulation of the MAS and SGX
• Liaise with regulators, legal consultants.
• Handle inquiries from regulators, e.g. the MAS and SGX and relevant regulatory authorities (Hong Kong, US and Australia etc. )
• Conducting AML/KYC checking and other necessary investigations.
• Formulate, review and update policies and procedures.
• Preparing compliance training to staff.
• Identify, assess, and offer insights on control needs for risks mitigation to help improving operational risks.
• Support risk management projects, e.g. risk tool implementation, business impact analysis, dashboards.
• Liaise and coordinate with other control functions on operational risk and control activities.
• Ensure the Group company owned policies, guidelines, procedures, and practices are in place to address key Operational risks and that are aligned with the relevant regulatory requirements.
• Ensure audit findings are rectified properly. Undertake consistent liaison and collaboration with internal audit, external audit, ORM, compliance.
• Review business and operational processes to ensure proper implementation of corrective actions to address control deficiencies.

Education/Experience/Knowledge/Skill:

• Bachelor’s degree or above in finance, law or related disciplines is preferable.
• At least 5 years work experience in Finance industry, experience in General Compliance in regulatory is an advantage.
• Familiar with rules and regulations of the other regulatory requirements in different markets and jurisdictions.
• Able to work independently, self-motivated with strong sense of responsibility and analytical mind.
• Good command of English, Cantonese and fluent in Putonghua is an advantage.

Salary range:

• SGD 5,000 - 13,000 per month

Interested candidates, please send in your resume to: hai.lxh@gmail.com

Responsibilities:

· Prepare and review compliance handbook

· Handle MAS filings and inquiries from regulatory bodies

· Perform regular compliance checking to ensure compliance with regulatory requirements

· Handle KYC and AML-related matters as well as client onboarding compliance check

· Provide relevant advisory to business/support units and other AML teams on matters relating to compliance issues, transaction monitoring review and investigation conducted by the unit

· Perform analysis of suspicious transaction/activity reports to identify AML risk trends to support the AML risk management and controls within the Group

· FATCA / CRS reporting in accordance with relevant requirements

· Handle CPT related matters, such as update of CPT register

· Develop regulatory governance frameworks, policies, and procedures to effective management of regulatory risks for company, clients

· Facilitate and address any MAS queries and external authorities, as well as internal and external audits

· Familiar with outsourcing guidelines and prepare relevant policies, procedures and documents in compliance with MAS regulations and guidelines

· Undertake other ad-hoc duties as assigned

Requirements:

· University Degree in Business, Law, Finance or related disciplines

· At least 3 years of strong compliance experience in local regulatory compliance and risk management, with demonstrable knowledge of relevant regulatory requirements

· Strong knowledge or prior experience in key regulatory requirements such as the Securities & Futures Act, Financial Advisers Act, MAS Notices and Guidelines, and AML/CFT regulations

· Work independently, self-motivated, strong analytical skills and ability to exercise sound judgment and manage execution under pressure

· Familiar with FATCA and CRS reporting is preferred

· Effective communicator in both English and Mandarin to liaise with Mandarin speaking clients

Responsibilities:

· Prepare and review compliance handbook

· Handle MAS filings and inquiries from regulatory bodies

· Perform regular compliance checking to ensure compliance with regulatory requirements

· Handle KYC and AML-related matters as well as client onboarding compliance check

· Provide relevant advisory to business/support units and other AML teams on matters relating to compliance issues, transaction monitoring review and investigation conducted by the unit

· Perform analysis of suspicious transaction/activity reports to identify AML risk trends to support the AML risk management and controls within the Group

· FATCA / CRS reporting in accordance with relevant requirements

· Handle CPT related matters, such as update of CPT register

· Develop regulatory governance frameworks, policies, and procedures to effective management of regulatory risks for company, clients

· Facilitate and address any MAS queries and external authorities, as well as internal and external audits

· Familiar with outsourcing guidelines and prepare relevant policies, procedures and documents in compliance with MAS regulations and guidelines

· Undertake other ad-hoc duties as assigned

Requirements:

· University Degree in Business, Law, Finance or related disciplines

· At least 3 years of strong compliance experience in local regulatory compliance and risk management, with demonstrable knowledge of relevant regulatory requirements

· Strong knowledge or prior experience in key regulatory requirements such as the Securities & Futures Act, Financial Advisers Act, MAS Notices and Guidelines, and AML/CFT regulations

· Work independently, self-motivated, strong analytical skills and ability to exercise sound judgment and manage execution under pressure

· Familiar with FATCA and CRS reporting is preferred

· Effective communicator in both English and Mandarin to liaise with Mandarin speaking clients