Senior Executive, Investment Control

Key Responsibilities

1. Operational Risk & Control Framework

• Support the implementation and maintenance of investment operational risk frameworks 
• Assist in identifying, assessing, and monitoring key operational risks across IVS functions 
• Track incidents, issues, and remediation actions, ensuring timely closure and proper documentation 
• Maintain control logs and ensure adherence to internal policies and procedures 

2. RCSA (Risk & Control Self-Assessment)

• Support the execution of periodic RCSA exercises across IVS teams 
• Work with stakeholders to document key risks, controls, and control effectiveness 
• Assist in identifying control gaps and tracking remediation plans 
• Prepare dashboards and summaries for management reporting 

3. Compliance Risk Assessment

• Lead and maintain the Compliance Risk Assessment (CRA), ensuring it is risk‑based, current, and aligned with regulatory expectations. 
• Identify, assess, and document inherent and residual compliance risks, including evaluating the effectiveness of existing controls. 
• Maintain the compliance risk register, risk ratings, and supporting documentation, ensuring clear rationale and audit readiness. 
• Partner with Compliance, Risk and Legal to validate risk assessments and assess regulatory impact of business changes. 
• Translate CRA outcomes into monitoring plans, management reporting, and remediation actions, and support audits and regulatory reviews.

4. Internal Audit Support

• Act as the primary point of contact for Internal Audit, coordinating all audit‑related engagements impacting the business unit.
• Manage and coordinate audit requests, including timelines, information gathering, and responses across relevant stakeholders.
• Review and quality‑check documentation and responses prior to submission to Internal Audit, ensuring accuracy, completeness, and consistency.
• Facilitate audit meetings, walkthroughs, and discussions, and proactively address queries raised by Internal Audit.
• Track and coordinate audit findings, action plans, and remediation efforts, including follow‑up and reporting on progress to management.

5. MAS Outsourcing & Vendor Oversight

• Support outsourcing due diligence and ongoing monitoring in line with MAS guidelines 
• Assist in reviewing service providers (e.g., custodians, fund administrators) on performance, controls, and compliance 
• Maintain outsourcing registers, documentation, and review schedules 
• Track and follow up on audit findings and service review action items 

6. Operational Due Diligence (ODD) Support

• Assist in conducting ODD on external fund managers and service providers 
• Review due diligence questionnaires, financials, and control reports (e.g., SOC1/SOC2) 
• Support periodic reviews and updates of ODD assessments 
• Maintain proper documentation and audit trail of all ODD activities 

7. Portfolio Compliance Monitoring

• Perform daily/periodic portfolio compliance checks against investment guidelines and regulatory limits 
• Investigate and escalate breaches, working with relevant stakeholders on resolution 
• Maintain compliance monitoring logs and ensure timely reporting 
• Support enhancement of compliance monitoring processes (including automation initiatives) 

8. Governance & Reporting

• Prepare regular risk, compliance, and control reports for internal stakeholders (e.g., CIO, Risk, Audit) 
• Support regulatory reporting requirements where relevant (e.g., MAS-related submissions) 
• Assist in audits and regulatory reviews by providing required documentation and analysis 

9. Process Improvement & Automation

• Identify opportunities to improve efficiency and strengthen controls through process enhancements and automation 
• Support implementation of tools and workflows (e.g., dashboards, data validation checks) 
• Work with IV Enablement & Automation Squad on digitization initiatives 

Requirements

Qualifications & Experience

• Degree in Finance, Accounting, Business, or related discipline 
• 1–3 years of experience in investment operations, risk, compliance, or audit (fresh graduates with strong internships may be considered) 

Skills & Competencies

• Strong analytical and problem-solving skills 
• High attention to detail with strong control mindset 
• Basic understanding of investment products (public and/or private markets) 
• Familiarity with risk management concepts (e.g., RCSA, operational risk) is a plus 
• Good communication skills and ability to work with multiple stakeholders 
• Proficiency in Excel; familiarity with data tools/automation is advantageous 

Preferred Attributes

• Curious, proactive, and willing to challenge processes constructively 
• Strong ownership and accountability mindset 
• Ability to work in a fast-paced and evolving environment 
• Interest in data, automation, and AI-enabled operations 

Reporting Line

• Reports to: Investment Control Lead 
• Works closely with: IV Public/Private teams, Fund Accounting, Risk, Compliance, and external service providers