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.
We are Asia’s leading Asset and Wealth Management practice and our firm is offering you an exceptional opportunity to work with market-leading, fast-growing and specialist boutique clients in this this dynamic sector. AWMS seeks to deliver tailored one-stop-shop solutions that support the daily operations and management needs of fund managers, family offices and funds in today’s complex operating environment, empowered by our team of multi-disciplinary specialists and leading technological solutions.
Our AWMS team is expanding rapidly and we are looking for seasoned professionals to join us.
A career within AWMS Risk & Compliance Solutions will provide you with the opportunity to help companies rethink their approach to risk and compliance and create a sustainable business advantage. We’re part of a unique client proposition that advises our clients on routine and complex risk and regulatory matters and offers bespoke outsourced support, from market entry through to execution, to help our clients better manage their ongoing compliance, risk and internal audit needs.
You’ll work as part of a fast-growing team of subject matter experts with extensive industry experience in areas relating to regulatory compliance, risk management and internal controls. The team’s track record and credentials include several “industry-firsts” and numerous high profile engagements. Your clients will include leading local, regional and global asset managers, alternative asset managers (private equity, private credit, real estate, hedge funds and venture capital), traditional and digital wealth managers, digital assets and other capital market intermediaries. Digital alliances and digital solutions are core to the delivery of our services to clients. You will enjoy a stable yet flexible working environment with certainty in hours, and the ability to manage and control your own time.
Specific responsibilities include but are not limited to:
- Providing regulatory advice to clients operating in fund management, private wealth management, digital advisory, digital assets and other capital markets intermediaries (i.e. REIT managers, brokerages, corporate finance advisors and trust companies) to help optimise their risk management compliance with regulatory requirements.
- Your regulatory advice will cover areas such as licensing and registration, regulatory reporting, sales and product compliance, AML/CFT, business conduct, outsourcing, culture and conduct, and technology risk.
- Managing a team of specialists providing outsourced internal audit and risk solutions to clients. This includes conducting internal audits, outsourced regulatory inspections, operational due diligence, performing non-financial controls reviews and attestations, and assisting on AML/KYC reviews;
- Managing a team of specialists providing outsourced compliance support to clients. This includes regulatory reporting, operationalising changes and updates to regulations, conducting compliance monitoring and reporting to senior management, assisting on AML/KYC reviews and providing regulatory advice.
- Helping clients develop, implement and strengthen their enterprise risk management and compliance frameworks.
- Conducting business processes and controls reviews, including internal audit and control assurance reporting, identifying gaps, assessing risks and providing recommendations for remediation.
- Conducting thematic compliance reviews and internal audits to formulate recommendations for processes and controls to better comply with regulatory requirements, regulators’ expectations, and industry/market practices.
- Working with our strategic alliance partners to formulate new services / products to take to the market (e.g. regulatory technology / platform).
- Working on business development or new market opportunities (e.g. new clients, services, proposal formulation).
- Managing key stakeholder relationships, including communication of the scope of work, findings and observations, industry updates.
About you:
- At least 5-6 years of financial services regulatory, legal or internal audit experience in a Big 4 audit firm, regulator or financial institution. Previous employment with a regulator will be highly preferred.
- Good understanding of the asset and wealth management/digital assets/capital markets landscape.
- Strong experience in auditing and advising on local MAS regulatory requirements for capital markets intermediaries. This includes Securities and Futures Act, Financial Advisers Act, Banking Act, Payments Services Act, including AML/ CFT.
- Experience in the following areas would be beneficial
- 1. dealing with the MAS on licensing for capital markets intermediaries and approved exchanges;
- 2. auditing and advising on front office conduct and sales practices; and
- 3. technology-related regulatory requirements, which includes Technology Risk Management, Cyber Hygiene and Business Continuity Management.
- Professional, confident and highly motivated self-starter, with an ability to handle multiple engagements/projects in a fast pace environment with tight deadlines, positive attitude to learn and strong team player. Able to manage people and teams.
- Possess strong values, personal integrity and emotional intelligence.
- Meticulous and attention to details, possessing an analytical and enquiring mind-set
We regret that only short-listed candidates will be notified.
