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Experience
Experienced
About the role
A senior manager role in the Asset & Wealth Managed Services team, focused on risk and compliance advisory for asset and wealth managers. You will lead a team of specialists delivering internal audit and risk solutions to clients across the financial services sector. This suits an experienced professional with a strong regulatory and audit background who enjoys a fast-paced, client-facing environment.
What you'll do
Advise fund management companies, wealth managers, digital advisors, digital asset providers and other capital markets intermediaries on governance, risk management and regulatory compliance
Cover areas such as compliance and risk management frameworks, monitoring programmes, portfolio management, fund operations, sales and product compliance, AML/CFT, outsourcing, culture and conduct, and technology risk
Manage a team of specialists providing outsourced internal audit and risk solutions, including internal audits, outsourced regulatory inspections, operational due diligence, non-financial controls reviews and attestations, and AML/KYC reviews
Help clients develop, implement and strengthen their Board governance and risk management framework
Conduct business processes and controls reviews, identify gaps, assess risks and provide remediation recommendations
Draft findings in report deliverables with clear business writing and confident presentation skills
Manage key stakeholder relationships, including communicating scope of work, findings, observations and industry updates
Conduct thematic reviews and thought leadership to formulate recommendations on processes and controls
Work with strategic alliance partners to formulate new services and products for the market
Work on business development and new market opportunities, including new clients, services and proposal formulation
Assist in hosting events on key industry updates and areas of interest for clients
Good to know
Stable yet flexible working environment with certainty in hours and the ability to manage and control your own time
Only short-listed candidates will be notified
Requirements
At least 6 years of financial services regulatory, internal or external audit experience in a Big 4 audit firm, regulator or financial institution
Previous employment with a regulator is highly preferred
Good understanding of the asset and wealth management, digital assets or capital markets landscape
IT audit experience is preferred
Strong experience in auditing and knowledge of local MAS regulatory requirements for capital markets intermediaries, including Securities and Futures Act, Financial Advisers Act, Banking Act, Payments Services Act and AML/CFT
Experience in auditing under ISAE 3402, ISEA 3000 and AUP frameworks, and advising on front office conduct and sales practices, is beneficial
Benefits
Stable yet flexible working environment with certainty in hours
Ability to manage and control your own time
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