Serving You Since 1975

Executive, Risk and Compliance

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.

If you are looking for an environment of growth and opportunities, please write in with a detailed resume stating the position applied and expected salaries to the HR department via recruitment@phillip.com.sg.

We regret that only shortlisted candidates will be notified.

Brought to you by Phillip Securities Pte Ltd (A member of PhillipCapital)