Dimensional
investment manager
SeniorComplianceandRiskOfficer
“Senior Compliance and Risk Officer at Dimensional. Skills: Compliance, Risk Management, Regulatory Frameworks, AML/KYC. Ongoing development, implementation and maintenance of Dimensional’s compliance monitoring program and compliance monitoring systems. Identification and analysis of all compliance obligations (existing and new) that impact Dimensional’s operations”
Industry & Context.
Identification and analysis of all compliance obligations (existing and new) that impact Dimensional’s operations; Proven experience balancing commercial considerations with reputational and legal risk
What They're Looking For.
Must Have
At least ten to twelve years experience with a global investment manager in compliance or risk related role, Good working knowledge of both Singapore and Hong Kong regulatory regime, including the regulatory obligations of a Capital Markets Services Licence holder in Singapore and Licensed Corporation in Hong Kong, Good working knowledge of AML/CTF regulation, in particular client due diligence and ongoing monitoring, Proven experience balancing commercial considerations with reputational and legal risk, Experience with marketing review for regional institutional and advisor clients, Well-developed computer intermediate to expert use of MS Office is a must, Minimum of Bachelor degree in finance, legal or accounting or a related field
Nice to Have
Direct experience working with the MAS and SFC regulators a plus, Familiarity with Charles River or similar order entry systems desired, Reimbursement for pre-approved study, such as CFA, via our Global Education Assistance Policy as well as access to exam leave
What You'll Do.
implementation and maintenance of Dimensional’s compliance monitoring program and compliance monitoring systems
Identification and analysis of all compliance obligations (existing and new) that impact Dimensional’s operations
Distribution Compliance in reviewing and sign-off of all marketing materials
Monitoring regulatory reforms and industry developments
and responding to changes by way of implementing policy
process and associated employee training
Working with the local and global risk team to implement processes under the Enterprise Risk Management Program including coordinating risk assessments and maintaining risk registers
Preparation of compliance reports to Management Team
the Compliance Committee and the Board
Provision of advice and training on compliance and risk related issues to the firm and its staff
complaints and breaches management
How You'll Work.
Team & Collaboration
Collaboration with global compliance and risk counterparts, as well as stakeholders in Singapore and Hong Kong, is paramount; Working with the local and global risk team; ability to effectively engage with senior management, directors, clients and other external stakeholders
Communication Scope
Exceptional written and verbal communication skills; ability to effectively engage with senior management, directors, clients and other external stakeholders
Process & Methodology
managing multiple projects, meeting deadlines
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