Contract Executive, Investment Ops & Compliance Risk (1 year)
Contract Executive, Investment Ops & Compliance Risk (1 year)
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Job Description
Senior Executive / Assistant Manager Investment Operational Risk
The Investment Operational Risk and Compliance team is part of the Risk Management Department which drives risk management agenda ensures sound and effective risk management framework and promotes risk culture. The team oversees and conducts the operational risk management function for Incomes Investment related activities and ensures these activities are compliant with applicable laws regulations and internal standards. We are looking for a strong and pro-active team player who wants to grow with Income to join us.
Your main responsibilities will include:
Investment Operational Risk
- Drive and Support the Investment Operation Risk framework procedures and related activities in the areas of Risk
Management / 2nd Line of Defence.
- Conduct the Incident Notification and Reporting (Ops Loss) for Investment related activities
- Provide support to Risk and Control Self-Assessment (RCSA) Control Testing and Quality Assurance Review and recommend enhancements on adequacy of the design of internal controls and processes
- Review the Investment Management Agreement (IMAs) Investment Portfolios Guidelines Subscription Documents and other requests from our Investment Teams.
- Review the Investment Breach Register and Investments team standard operating procedures (SOP) on a regular basis.
- Participate to the regular review on External Fund Managers.
- Coordinate and prepare Monthly Incident Reporting with the Investment personnel for Risk Management reporting
- Coordinate and support for Substantial Shareholding reporting for other jurisdictions other than SG
Investment Compliance (Regulatory)
- Support to the Investment Compliance (Regulatory) framework policies procedures and related activities (i.e. assessment dissemination and advisory on Regulations applicable to Investment activities)
- Review and assess Investment Regulatory Breaches prepare notification to Authorities
- Report and escalate compliance shortcomings violations and breaches to Senior Management Board committees and Authorities.
- Contribute in the preparation of compliance report on a quarterly basis
- Review on Personal Investment Disclosure Quarterly Checks
- Review on Related Party Transactions Check on a quarterly basis
Qualifications
- Degree in Accounting Finance Law or equivalent
- Experience in Asset Management / Investment will be preferable
- Minimum 3 to 5 years of relevant experience either in Portfolios Operations or Investment Compliance or Operational Risk
- Familiar with MAS regulations notices and guidelines with respect to Fund Management and Insurance Investments will be a plus (e.g. Securities & Futures Act Code of Collective Investment Schemes MAS Notice 307 CPF Investment Guidelines).
- Good in communication and writing skills able to present to and engage with different audience
- Team player with good interpersonal skill able to work independently as well
- Analytical skills
Employment Type
Full-Time
