Asset and Wealth Management Services Senior Associate - Risk & Compliance Solutions

Specific responsibilities include but are not limited to:

• Providing advice to fund management companies, wealth managers, digital advisors, digital assets providers and other capital markets intermediaries (i.e. REIT managers, brokerages, corporate finance advisors and trust companies); to help optimise their governance, risk management and compliance with regulatory requirements;

• Your advice will cover areas such as compliance and risk management frameworks and monitoring programmes, as well as business conduct practices in areas such as portfolio management, fund operations, sales and product compliance, AML/CFT, outsourcing, culture and conduct, and technology risk;

• Conducting business processes and controls reviews, including control assurance reporting to identifying gaps, assessing risks and providing recommendations for remediation;

• Perform walk-through interviews, identify key controls and tailor audit procedures to evaluate the design and validate operating effectiveness of internal controls in various business processes;

• Review and recommend practical business process improvements to address control gaps and to enhance efficiency where possible;

• Draft findings in report deliverables with clear and concise business writing abilities; 

• 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;

• Managing key stakeholder relationships, including communication of the scope of work, findings and observations, industry updates;

• Support engagement team leaders and managers in other internal and external key deliverables and business requirements.

About you:

• Bachelor’s Degree in a related area of Accounting / Commerce / Business including students from a local/overseas university. For candidates with other degree specialisations, preference will be given to candidate that have obtained or are in the process of pursuing Singapore CA, ICAEW, CIA or CISA accreditations.

• At least 2 years of external audit, internal audit or IT audit experience, preferably in a Big 4 Accounting Firm and/or commercial organisations’ in-house internal audit department.

• Good understanding of the asset and wealth management/digital assets/capital markets landscape and IT audit experience preferred

• Knowledge of local MAS regulatory requirements for capital markets intermediaries gained through experience in regulatory compliance, internal audit or processes, risk and controls experience.

Experience in the following areas would be beneficial:

• auditing under the relevant frameworks (for ISAE 3402, ISEA 3000, AUP); and

• technology-related regulatory requirements, which includes Technology Risk Management, Cyber Hygiene and Business Continuity Management; and

• direct dealings and interactions with the MAS.

• Good track record of academic achievements

• Meticulous and attention to details, possessing an analytical and enquiring mind-set

• Professional, confident and highly motivated self-starter, with an ability to handle multiple tasks in a fast-paced environment with tight deadlines,

• Positive attitude to learn and strong team player.

• Able to work under pressure and tight deadlines

• Possess strong values, personal integrity, and emotional intelligence.