Total 13 Manager financial advisor job vacancies in Quality Assurance / Control category in Singapore

We believe that challenges are best solved together. That’s why, when you join us, you become part of a diverse and global community of problem-solvers. You'll find an unexpected mix of people who bring their unique expertise to build trust in society and tackle important issues. Here, we welcome and encourage you to lead with value and inspiration, question and challenge assumptions, as well as embrace new opportunities to deliver quality outcomes in exciting and unexpected ways, all with the support of technology.


Our Financial Services Assurance Practice works with organisations to strengthen trust and transparency by building, maintaining and providing trust over financial reporting in a fast changing, technology-driven world. As Asia’s top financial services practice, our audit approach is at the leading edge of best practice. We draw upon our extensive industry knowledge for our clients including top blue chip companies in the asset management, banking, capital markets, and insurance sectors. We provide our clients with insights, empowered by leading technologies, into marketplace developments and global opportunities.

Key responsibilities:

• Coach and manage teams of professionals in carrying out a variety of assurance engagements;
• Forge relationships within the industry and contribute to the continued success of the teams;
• Develop and facilitate the professional growth of the team members; and
• Involvement in a wide range of advisory projects in the Banking & Capital Markets, Insurance and Asset Management industries.

Requirements:

• Relevant accounting qualifications
• 8 -11 years of demonstrable experience in a similar role at a Big 4 accounting firm
• Experience in statutory and regulatory audits of Banking & Capital Markets, Insurance and Asset Management clients
• Sound understanding of IFRS/SFRS and SAS/ISA. US GAAP knowledge would be useful
• Excellent project management and team working skills
• Strong interpersonal, written and verbal communication skills
• Ability to demonstrate an understanding of commercial issues facing businesses in this sector
• Effective day-to-day management of clients; building and maintaining client relationships is crucial

*Only shortlisted candidates will be notified due to the high number of applicants for this role.

Position Purpose:

In Singapore, StoneX is regulated by MAS as a Capital Markets Service Licensee, an Exempt Financial Adviser and a Major Payment Institution, and by MinLaw as a registered dealer of precious stones and metals. StoneX is also a trading member of SGX-DT and a clearing member of SGX-DC. This expansion role at StoneX will manage financial crime compliance risks by ensuring adherence to laws and regulations, updating policies and procedures to comply with regulatory changes, advising businesses and senior management, managing audits and inquiries, and supervising trade surveillance and compliance testing.

Primary duties will include:

• Provide financial crime compliance (FCC) advice and guidance to business units and senior management
• Update policies, procedures and controls to meet regulatory requirements on AML, CFT, sanctions, anti-bribery & corruption
• Supervise screening, transaction monitoring, enhanced CDD, management reporting and trade surveillance
• Monitor high-risk transactions and customer activities through a risk-based approach, and investigate potential suspicious transactions with filing of STRs
• Perform enterprise-wide AML/CFT/Sanctions risk assessment and ensure effective measures are in place to identify, assess and mitigate risks
• Assist in audits, investigations and responding to queries from regulators and exchanges
• Participate in strategic projects to upgrade digital platforms

Requirements:

• University Degree in accounting, business, finance, law or related fields
• Professional certification in financial crime compliance is advantageous
• Minimum 7 years of experience in financial crime compliance in financial services or regulatory environment
• Work experience in audit firms, banks, brokerages or financial services firms
• Knowledge of MAS regulations, FATF standards and best practices
• Attention to detail, pro-active, hands-on approach to problem solving
• Agile mindset, collaborative and trustworthy team player
• Familiarity with compliance and surveillance systems is advantageous

Position Purpose:

In Singapore, StoneX is regulated by MAS as a Capital Markets Service Licensee, an Exempt Financial Adviser and a Major Payment Institution, and by MinLaw as a registered dealer of precious stones and metals. StoneX is also a trading member of SGX-DT and a clearing member of SGX-DC. This expansion role at StoneX will manage business, regulatory compliance and reputational risks by ensuring adherence to laws and regulations, updating policies and procedures to comply with regulatory changes, advising businesses and senior management, managing audits and inquiries, conducting training and compliance testing.

Primary duties will include:

• Provide business and regulatory compliance advice and guidance to business units and senior management
• Update policies, procedures and controls to meet regulatory requirements of MAS, MinLaw, SGX-DT, SGX-DC and regulators in APAC
• Supervise licensing, regulatory change management, complaints handling, compliance monitoring, conflict of interests management, cross-border marketing, market abuse, outsourcing, training and management reporting
• Advising on business expansion, innovative products, customer transactions and regulatory issues in APAC
• Perform compliance risk assessment and ensure effective measures are in place to identify, assess and mitigate risks
• Assist in audits, investigations and responding to queries from regulators and exchanges
• Participate in strategic projects to upgrade digital platforms

Requirements:

• University Degree in accounting, business, finance, law or related fields
• Professional certification in compliance is advantageous
• Minimum 10 years of experience in regulatory compliance in financial services or regulatory environment
• Work experience in audit firms, banks, brokerages or financial services firms
• Knowledge of MAS regulations, SGX-DT rules and best practices
• Attention to detail, pro-active, hands-on approach to problem solving
• Agile mindset, collaborative and trustworthy team player
• Familiarity with compliance systems is advantageous

We believe that challenges are best solved together. That’s why, when you join us, you become part of a diverse and global community of problem-solvers. You'll find an unexpected mix of people who bring their unique expertise to build trust in society and tackle important issues. Here, we welcome and encourage you to lead with value and inspiration, question and challenge assumptions, as well as embrace new opportunities to deliver quality outcomes in exciting and unexpected ways, all with the support of technology.

Our Financial Services Assurance Practice works with organisations to strengthen trust and transparency by building, maintaining and providing trust over financial reporting in a fast changing, technology-driven world. As Asia’s top financial services practice, our audit approach is at the leading edge of best practice. We draw upon our extensive industry knowledge for our clients including top blue chip companies in the asset management, banking, capital markets, and insurance sectors. We provide our clients with insights, empowered by leading technologies, into marketplace developments and global opportunities.

Key responsibilities:

• Coach and manage teams of professionals in carrying out a variety of assurance engagements;
• Forge relationships within the industry and contribute to the continued success of the teams;
• Develop and facilitate the professional growth of the team members; and
• Involvement in a wide range of advisory projects in the Banking & Capital Markets, Insurance and Asset Management industries.

Requirements:

• Relevant accounting qualifications
• 5-8 years of demonstrable experience in a similar role at a Big 4 accounting firm
• Experience in statutory and regulatory audits of Banking & Capital Markets, Insurance and Asset Management clients
• Sound understanding of IFRS/SFRS and SAS/ISA. US GAAP knowledge would be useful
• Excellent project management and team working skills
• Strong interpersonal, written and verbal communication skills
• Ability to demonstrate an understanding of commercial issues facing businesses in this sector
• Effective day-to-day management of clients; building and maintaining client relationships is crucial
• 
  

As part of our recruiting process, interested candidates are to complete an application through our career website at https://www.pwc.com/sg/careers.html

*We regret that only short-listed candidates will be notified.

My client is a dynamic financial services firm looking for a Deputy Compliance Manager to join their team. If you are a Market Conduct Professional or an Investigator looking for a rewarding career where you can contribute your expertise and make a difference, this role is for you.

Responsibilities:

• Manage investigations end-to-end including conducting interviews and drafting investigation reports.
• Mentoring of juniors from the Compliance department
• Ensure all relevant laws and regulations issued by MAS are updated and adhered to
• Conduct audits to identify critical risk areas, e.g. training and competency quality

Requirements:

• Degree holder of min. 3 years' experience in conducting market conduct/investigations related work preferably within FA firms, insurers or banks. (also open to police investigation officers)
• Proactiveness and ability to adapt quickly in a fast-paced environment.
• Ability to work with different stakeholders
• Possess report writing and documentation skills
• Understanding of relevant regulations, including FAA and LIA guidelines.

Perks:

• Opportunity to grow professionally in a supportive environment.
• Join a young collaborative team dedicated to excellence and continuous improvement.
• Hybrid working arrangements

Don't miss out on this exciting opportunity to be a part of a dynamic team. Apply directly or reach out to Jeanie Ng via email to [email protected] or dial +65 6351 6993 to be considered immediately, as this role is highly competitive.

Job Description:

Our client, a global financial firm, is seeking a highly skilled and experienced FCC Data analytics manager to join their dynamic team. As a FCC Data analytics manager, you will play a crucial role in building and enhancing their AML monitoring frameworks, implementing transaction monitoring surveillance systems, and utilizing quantitative analytics to improve the effectiveness of our AML system. You will gain the opportunity to work with skllful global leaders, establishing and pioneering the ever-growing financial industry.

Responsibilities:

• Develop and implement transaction monitoring surveillance systems and customer risk rating models.
• Conduct innovative research and design on AML monitoring frameworks using quantitative analytics and data techniques.
• Develop engines for automatic AML detection threshold tuning to ensure quick reaction to continuous risk changes.
• Provide quantitative analytics support to compliance officers during regulatory visits and enquiries.
• Collaborate with Product & Technology team to improve model effectiveness and extend AML defense line through AI and ML applications.
• Govern anti-money laundering-related risks and formulate identification/disposal strategies.
• Conduct suspicious transaction analysis and write risk/model assessment reports.

Requirements:

• Bachelor's degree or above in computer science/engineering, statistics, mathematics, finance, or similar fields.
• At least 3 years' experience in AML/risk control/fraud management in financial or payments industry,consulting firms, or similar industries.
• Familiarity with domestic and international AML regulatory requirements and money laundering features, motions, and patterns.
• Proficiency in data handling coding (e.g., SQL) and at least one professional analytics tool such as SAS, Python, etc.
• Strong project management skills and ability to lead teams to achieve business goals.
• Excellent communication skills, ability to work under pressure, and a result-oriented mindset.
• Ability to speak in Mandarin

AYASA Globo Financial Services is a “one-stop” platform which provides comprehensive and total solutions to hedge funds, private equities, family offices and financial institutions. We are also a pioneer in crypto fund setup and administration with actual hands-on experience. To cope with the operation expansion in Singapore, we are seeking a high calibre professional to join our Singapore Compliance Team.

Job Responsibilities:

· Handle the enquiry from the customer regarding regulatory and AML/CFT compliance of MAS license.

· Liaise with MAS on compliance matters (e.g. VCC, FMC license application for the clients).

· Ensure prompt and accurate compliance relevant regulatory reporting submissions to MAS.

· Provide advice in the development and implementation of policy, governance and regulatory standards and frameworks related to MAS license.

· Responsible for general oversight of MAS regulatory compliance and Anti-Money Laundering / Counter Financing of Terrorism (AML/CFT)

· Ensure staff actively monitor MAS regulatory developments, trends in the market, and develop or update policies and procedures to ensure adherence and compliance with the laws and regulations

· Build and maintain strong, long-term relationships with assigned clients

· Regularly communicate with clients to understand their needs and provide solutions that align with their goals in a timely and professional manner

· Assist clients in the onboarding process, ensuring a smooth transition into our services

Job Requirements:

- At least 2 years’ experience in VCC, FMC license application and AML/KYC/regulatory compliance

- Ability to be AML officer for the clients

- Experienced working in service provider environment will be a plus

- Candidates with less experience will be considered as Assistant Compliance Manager

- Fluent in written and spoken English, Mandarin. Ability to communicate in Cantonese will be an advantage.

- Attention to detail and good time management

- Excellent in communications and interpersonal skills

- Ability to work independently, meticulous, dedicated and self-motivated with good manners

- Immediate availability is highly preferred

Benefits:

5-day work

Bank holidays

Medical insurance

Discretionary bonus and commission scheme are available

Interested candidate please click APPLY NOW to apply online or send your resume to this email: [email protected]

"All applications will be treated in strict confidence. Personal data provided in the applications will only be used for recruitment-related purposes. All information on non-shortlisted applicants will be destroyed after 6 months

Responsibilities:

· Prepare and review compliance handbook

· Handle MAS filings and inquiries from regulatory bodies

· Perform regular compliance checking to ensure compliance with regulatory requirements

· Handle KYC and AML-related matters as well as client onboarding compliance check

· Provide relevant advisory to business/support units and other AML teams on matters relating to compliance issues, transaction monitoring review and investigation conducted by the unit

· Perform analysis of suspicious transaction/activity reports to identify AML risk trends to support the AML risk management and controls within the Group

· FATCA / CRS reporting in accordance with relevant requirements

· Handle CPT related matters, such as update of CPT register

· Develop regulatory governance frameworks, policies, and procedures to effective management of regulatory risks for company, clients

· Facilitate and address any MAS queries and external authorities, as well as internal and external audits

· Familiar with outsourcing guidelines and prepare relevant policies, procedures and documents in compliance with MAS regulations and guidelines

· Undertake other ad-hoc duties as assigned

Requirements:

· University Degree in Business, Law, Finance or related disciplines

· At least 5 years of strong compliance experience in local regulatory compliance and risk management, with demonstrable knowledge of relevant regulatory requirements

· Strong knowledge or prior experience in key regulatory requirements such as the Securities & Futures Act, Financial Advisers Act, MAS Notices and Guidelines, and AML/CFT regulations

· Work independently, self-motivated, strong analytical skills and ability to exercise sound judgment and manage execution under pressure

· Familiar with FATCA and CRS reporting is preferred

· Effective communicator in both English and Mandarin to liaise with Mandarin speaking clients

Job Description & Requirements

Brief:

The Compliance and Risk Management Manager will be overall responsible for the company's Compliance and Risk Management. The role is to manage the development and enhancement of operational risk and control within Operations Management Group .To work with the Board and in every aspect of the business including regulatory compliance matters..

Major Responsibilities

• Oversee the general compliance.
• Ensure daily operations comply with Singapore (MAS) and/or other regulatory requirements in different markets (Hong Kong, US and Australia etc. )
• Carry out regular compliance check at front, middle and back offices.
• Perform and review regular compliance checking.
• Review and investigate Trade and Communication surveillance alerts.
• Review, revising and drafting internal manuals, policies and procedures to ensure in compliance with rules and regulation of the MAS and SGX
• Liaise with regulators, legal consultants.
• Handle inquiries from regulators, e.g. the MAS and SGX and relevant regulatory authorities (Hong Kong, US and Australia etc. )
• Conducting AML/KYC checking and other necessary investigations.
• Formulate, review and update policies and procedures.
• Preparing compliance training to staff.
• Identify, assess, and offer insights on control needs for risks mitigation to help improving operational risks.
• Support risk management projects, e.g. risk tool implementation, business impact analysis, dashboards.
• Liaise and coordinate with other control functions on operational risk and control activities.
• Ensure the Group company owned policies, guidelines, procedures, and practices are in place to address key Operational risks and that are aligned with the relevant regulatory requirements.
• Ensure audit findings are rectified properly. Undertake consistent liaison and collaboration with internal audit, external audit, ORM, compliance.
• Review business and operational processes to ensure proper implementation of corrective actions to address control deficiencies.

Education/Experience/Knowledge/Skill:

• Bachelor’s degree or above in finance, law or related disciplines is preferable.
• At least 5 years work experience in Finance industry, experience in General Compliance in regulatory is an advantage.
• Familiar with rules and regulations of the other regulatory requirements in different markets and jurisdictions.
• Able to work independently, self-motivated with strong sense of responsibility and analytical mind.
• Good command of English, Cantonese and fluent in Putonghua is an advantage.

Salary range:

• SGD 5,000 - 13,000 per month

Interested candidates, please send in your resume to: [email protected]

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.

Our Financial Services Assurance Practice works with organisations to strengthen trust and transparency by building, maintaining and providing trust over financial reporting in a fast changing, technology-driven world. As Asia’s top financial services practice, our audit approach is at the leading edge of best practice. We draw upon our extensive industry knowledge for our clients including top blue chip companies in the asset management, banking, capital markets, and insurance sectors. We provide our clients with insights, empowered by leading technologies, into marketplace developments and global opportunities.

Key responsibilities:

• Coach and manage teams of professionals in carrying out a variety of assurance engagements;
• Forge relationships within the industry and contribute to the continued success of the teams;
• Develop and facilitate the professional growth of the team members; and
• Involvement in a wide range of advisory projects in the Banking & Capital Markets, Insurance and Asset Management industries.

Requirements:

• Relevant accounting qualifications
• 5-8 years of demonstrable experience in a similar role at a Big 4 accounting firm
• Experience in statutory and regulatory audits of Banking & Capital Markets, Insurance and Asset Management clients
• Sound understanding of IFRS/SFRS and SAS/ISA. US GAAP knowledge would be useful
• Excellent project management and team working skills
• Strong interpersonal, written and verbal communication skills
• Ability to demonstrate an understanding of commercial issues facing businesses in this sector
• Effective day-to-day management of clients; building and maintaining client relationships is crucial

*Only shortlisted candidates will be notified due to the high number of applicants for this role.

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.

Our Financial Services Assurance Practice works with organisations to strengthen trust and transparency by building, maintaining and providing trust over financial reporting in a fast changing, technology-driven world. As Asia’s top financial services practice, our audit approach is at the leading edge of best practice. We draw upon our extensive industry knowledge for our clients including top blue chip companies in the asset management, banking, capital markets, and insurance sectors. We provide our clients with insights, empowered by leading technologies, into marketplace developments and global opportunities.

Key responsibilities:

• Coach and manage teams of professionals in carrying out a variety of assurance engagements;
• Forge relationships within the industry and contribute to the continued success of the teams;
• Develop and facilitate the professional growth of the team members; and
• Involvement in a wide range of advisory projects in the Banking & Capital Markets, Insurance and Asset Management industries.

Requirements:

• Relevant accounting qualifications
• 8 -11 years of demonstrable experience in a similar role at a Big 4 accounting firm
• Experience in statutory and regulatory audits of Banking & Capital Markets, Insurance and Asset Management clients
• Sound understanding of IFRS/SFRS and SAS/ISA. US GAAP knowledge would be useful
• Excellent project management and team working skills
• Strong interpersonal, written and verbal communication skills
• Ability to demonstrate an understanding of commercial issues facing businesses in this sector
• Effective day-to-day management of clients; building and maintaining client relationships is crucial

*Only shortlisted candidates will be notified due to the high number of applicants for this role.

Responsibilities:

· Prepare and review compliance handbook

· Handle MAS filings and inquiries from regulatory bodies

· Perform regular compliance checking to ensure compliance with regulatory requirements

· Handle KYC and AML-related matters as well as client onboarding compliance check

· Provide relevant advisory to business/support units and other AML teams on matters relating to compliance issues, transaction monitoring review and investigation conducted by the unit

· Perform analysis of suspicious transaction/activity reports to identify AML risk trends to support the AML risk management and controls within the Group

· FATCA / CRS reporting in accordance with relevant requirements

· Handle CPT related matters, such as update of CPT register

· Develop regulatory governance frameworks, policies, and procedures to effective management of regulatory risks for company, clients

· Facilitate and address any MAS queries and external authorities, as well as internal and external audits

· Familiar with outsourcing guidelines and prepare relevant policies, procedures and documents in compliance with MAS regulations and guidelines

· Undertake other ad-hoc duties as assigned

Requirements:

· University Degree in Business, Law, Finance or related disciplines

· At least 3 years of strong compliance experience in local regulatory compliance and risk management, with demonstrable knowledge of relevant regulatory requirements

· Strong knowledge or prior experience in key regulatory requirements such as the Securities & Futures Act, Financial Advisers Act, MAS Notices and Guidelines, and AML/CFT regulations

· Work independently, self-motivated, strong analytical skills and ability to exercise sound judgment and manage execution under pressure

· Familiar with FATCA and CRS reporting is preferred

· Effective communicator in both English and Mandarin to liaise with Mandarin speaking clients

Responsibilities:

· Prepare and review compliance handbook

· Handle MAS filings and inquiries from regulatory bodies

· Perform regular compliance checking to ensure compliance with regulatory requirements

· Handle KYC and AML-related matters as well as client onboarding compliance check

· Provide relevant advisory to business/support units and other AML teams on matters relating to compliance issues, transaction monitoring review and investigation conducted by the unit

· Perform analysis of suspicious transaction/activity reports to identify AML risk trends to support the AML risk management and controls within the Group

· FATCA / CRS reporting in accordance with relevant requirements

· Handle CPT related matters, such as update of CPT register

· Develop regulatory governance frameworks, policies, and procedures to effective management of regulatory risks for company, clients

· Facilitate and address any MAS queries and external authorities, as well as internal and external audits

· Familiar with outsourcing guidelines and prepare relevant policies, procedures and documents in compliance with MAS regulations and guidelines

· Undertake other ad-hoc duties as assigned

Requirements:

· University Degree in Business, Law, Finance or related disciplines

· At least 3 years of strong compliance experience in local regulatory compliance and risk management, with demonstrable knowledge of relevant regulatory requirements

· Strong knowledge or prior experience in key regulatory requirements such as the Securities & Futures Act, Financial Advisers Act, MAS Notices and Guidelines, and AML/CFT regulations

· Work independently, self-motivated, strong analytical skills and ability to exercise sound judgment and manage execution under pressure

· Familiar with FATCA and CRS reporting is preferred

· Effective communicator in both English and Mandarin to liaise with Mandarin speaking clients