AVP/VP, Risk & Compliance

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

Compliance

• 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.

Risk Management

• 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

Requirements

• 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