Roles & Responsibilities
Our client, a well-established asset management firm is seeking a Compliance & Risk Management specialist to oversee regulatory compliance and risk management for the fund management business, ensuring adherence to applicable regulations and maintaining a robust control framework across investment activities, fund operations, and client management.
Key Responsibilities
- Develop, implement, and maintain compliance frameworks, policies, and procedures in line with MAS regulations (e.g., FMC licensing requirements)
- Provide advisory support to investment, distribution, and operations teams on regulatory matters, including new fund launches and strategies
- Oversee AML/KYC framework, including onboarding reviews, periodic reviews, and high-risk client escalations
- Conduct compliance monitoring programmes (CMP) and periodic reviews across portfolio management, trade execution, and operational processes
- Ensure adherence to fund mandates, investment guidelines, and prospectus disclosures
- Perform risk assessments across market, liquidity, operational, and counterparty risks
- Monitor and report on portfolio risk exposures and breaches of limits, working closely with investment teams
- Liaise with regulators on filings, queries, and inspections; prepare regulatory submissions and reports
- Support fund structuring and launch, including vehicles such as VCCs and offshore funds
- Investigate compliance breaches, incidents, and exceptions, and implement remediation actions
- Deliver compliance training and regulatory updates to internal stakeholders
- Support internal and external audits, and drive remediation efforts
Requirements
- Bachelor’s degree in Law, Finance, Business, or related discipline
- Minimum 3–5 years of relevant experience in compliance/risk within asset management or fund management companies
- Strong knowledge of MAS regulations, including FMC licensing, AML/CFT requirements, and fund-related guidelines
- Familiarity with fund structures (e.g., VCC, hedge funds, private funds, offshore vehicles)
- Experience in compliance monitoring, risk assessments, and regulatory reporting
- Good understanding of investment products and portfolio management processes
Interested candidates kindly forward your CV to ethelsk.tan@peoplesearch.jobs (Ethel Tan Seok Khoon, Reg No: R2096281). Feel free to forward this great opportunity to someone who would be a great fit for this role.
All information will be kept strictly confidential. We regret to inform that only successful applicants will be contacted.
PeopleSearch Pte Ltd
EA License No: 16S8057
Tell employers what skills you have
Investment Strategies
Risk Assessment
Regulatory Compliance
Know Your Client - KYC
Auditing
Law
IT knowledge
Portfolio Management
AML
Finance
Hedge Funds
Regulatory Requirements
Regulatory Reporting