Coordinate and work with the Operations Director in driving implementation of policies, standards and guidelines on a company-wide basis, in support of the firm's risk and compliance roadmap.

Responsibilities 

• Provide advisory to various businesses within the company and ensure they adopt adequate measures to manage/mitigate compliance risks.
• Provide advisory on regulatory requirements to relevant business units for business-as-usual matters, and general compliance matters to both the firm and investment platform entities.
• Involvement in new initiatives and projects to assess compliance with regulatory requirements.
• Responsible for reviewing compliance activity reporting for the company and support reporting of compliance activities on a consolidated basis to relevant stakeholders.
• Responsible for development and delivery of risk and compliance-related training within the company, including overseas offices and support investment platform entities with their training framework.
• Coordinating and conducting internal reviews and working with internal audit to formulate a review framework for the firm's investment platform entities.
• Be responsible for reviewing and establishing a monitoring framework to ensure best in class and determining licensing, AML, KYC requirements.
• Work with legal advisors in establishing a best-in-class workflow, governance framework and monitoring of investment platform entities.

Qualifications 

• Bachelor’s degree in accountancy, business finance, economics, or other related disciplines with min of 10 years legal, compliance or internal audit experience at an asset manager or other financial institution.

If you believe this opportunity is right for you, please send your CV to Mabelene Ang by using the “Apply Now” button below.
  
To view similar opportunities or express interest in related positions, please visit our website www.aurexgroup.com and follow us on LinkedIn https://lnkd.in/fgAWEBa
  
EA 18S9493 | R1544508