Executive, Risk and Compliance
Executive, Risk and Compliance

Executive, Risk and Compliance

Job Purpose

The incumbent will report directly to the Head of Compliance and will work closely to manage all governance, risk management and compliance related matters.

The incumbent is also expected to assist the Head in managing the Risk Management Framework by identifying, assessing and managing risks that impacts the Company as well as in developing appropriate measures/control to prevent any non-compliance related incidents and to mitigate any non-compliance risks by raising the risk management and compliance awareness to all the staffs in the Company.

Duties and Responsibilities

  1. To assist the Head of Compliance in discharging his duties on the Company’s risk management and compliance functions, including governance and overseeing legal and internal audit functions.
  2. Support in the management of regulatory compliance matters including reporting, by conducting appropriate regulatory mapping.
  3. Perform a compliance assurance program by conducting a thematic review on risk areas and ensure remedial actions are followed up and followed through accordingly.
  4. Perform ongoing due diligence and assurance programs such as surveillance monitoring, transaction monitoring and suspicious transaction report.
  5. Identify, assess and escalate unusual activities and transactions.
  6. Provide support in control implementation to Business/Control functions to ensure operational effectiveness.
  7. To support Domestic/potential Foreign Trading market for Risk & Compliance matters.
  1. Candidate must possess at least a tertiary degree such as legal or has obtained the relevant accredited professional qualification in risk management and compliance.
  2. More than 2-4 years of working experience in risk management/compliance within the capital market industry or banking and financial institutions industry.
  3. Possess excellent communication, presentation and interpersonal skills.
  4. Ability to work effectively in a team and manage stakeholders.
  5. Possess analytical skills, critical thinking and is detail-oriented.
  6. Possess or completed module 11 from SIDC as relevant to the scope of responsibilities of the Compliance Officer is an added advantage. (if any)