Senior Executive, Investment Control

Investment Control Executive / Senior Executive

We are seeking a detail-oriented and proactive Investment Control Executive/Senior Executive to support the Investment Services (IVS) function in strengthening governance, risk oversight, and regulatory compliance across investment activities.

This role supports robust operational risk management, portfolio compliance monitoring, outsourcing oversight, and ongoing transformation initiatives to enhance controls, automation, and data-driven decision-making.

Key Responsibilities

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.

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.

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 the regulatory impact of business changes.
• Translate CRA outcomes into monitoring plans, management reporting, and remediation actions, and support audits and regulatory reviews.

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.

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.

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 an audit trail of all ODD activities.

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.

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.

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 a 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.