Client Group Risk and Controls Director, Asia Pacific

Who we’re looking for

We’re looking for a Client Group Risk and Controls Director, as part of the Global Client Group Risk and Controls Team. The role has two key elements of responsibility and requires an individual with the willingness and ability to support, oversee and challenge business activities from a risk and regulatory perspective, whilst adopting a commercial mindset.

The two key areas of responsibility are as follows

• Support the Head of Client Group, Asia and their management team by:
• Providing a governance framework which ensures the Client Group in Asia’s activities are carried out in a way which demonstrably meets regulatory obligations;
• Acting as an internal SME and escalation point for risk events, regulatory issues and regulatory change;
• Helping to identify and manage both ongoing and emerging risks within the business; and
• Supporting the management and governance of regulated entities in Asia.
• Support the Global Head of Client Group Risk and Controls by:
• Helping with the development and leadership of global client group programs in areas including risk event management, risk and control assessments, conduct and conflicts of interest;
• Deputising for the Global Head of Client Group Risk and Controls where required; and
• Ensuring a consistent governance framework is applied globally.

About Us

Schroders is a global investment manager which provides active asset management, wealth management and investment solutions. We aim to provide excellent investment performance to clients through active management. We serve a diverse client base that includes pension schemes, insurance companies, sovereign wealth funds, endowments, foundations, high net worth individuals, family offices, as well as end clients through partnerships with distributors, financial advisers, and online platforms.

Established in 1804, we have around 5,500 people across 36 global locations. Schroders' success can be attributed to its diversified business model, spanning different asset classes, client types and geographies.

The base

The position is based in Singapore, at our Capita Green office.

The team

You will sit in the Client Group Risk and Control team, reporting to the Global Head of Client Group Rick and Controls. The team is led by the Global Head of Client Group Risk and Controls, with regional support provided by the wider team. The team will be managed from a UK hub, as the largest region and headquarters of Schroders Plc. This role will be based in Singapore, as a local specialist will be required given the unique nature and complexity of the market in Asia. The business in Asia is involved with a wide range of client types and investment strategies, as well as being subject to different regulatory regimes facing differing scrutiny country to country.

This team sits more broadly within Shroders’ Client Group, which is responsible for business development, client service, product development, marketing and communications. The Risk and controls team enables core sales and client service activity by providing the necessary support on risk management, regulatory compliance and entity governance. This enables:

• More time for client facing staff to focus on core activities.
• Proper management of risks.
• Provable compliance with Regulations and Group Policies.
• A trusted advisor within the business, who understands the business.

What you'll do

The Client Group Risk and Controls Director, Asia must develop and deliver a governance framework that ensures the Client Group in Asia’s activities are carried out in a way that meets our regulatory obligations; where regulatory compliance can be evidenced; where the risks faced are understood and controlled; and where group policies are understood and followed.

The role works closely with the Client Group management team in Asia, as well as other internal stakeholders, including: risk, compliance, legal, operations and corporate functions. The Client Group Risk and Control Director, Asia acts as a bridge between client needs, internal teams and regulatory requirements, with a focus on enabling commercial success within a risk-controlled environment.

The Client Group Risk and Controls Director, Asia is responsible for:

• Oversight of the response to, and recording of, risk events within the business, ensuring that they are remediated in an appropriate manner, and that the right lessons are learned;
• Managing dedicated forums where senior management in Asia are brought together to discuss current and emerging risks and regulatory issues, with a focus on raising awareness, and sharing lessons learned;
• Understanding and documenting the key risks facing the client group in Asia, in line with group wide risk and control assessment processes;
• Monitoring key risk areas and providing regular feedback to management on items of concern, or where remediation is required;
• Delivering client group operational resilience requirements, working with senior management to ensure important business services and essential communication channels are identified, and that resilience can be demonstrated;
• Managing consumer duty board reporting requirements, ensuring that entity boards are sufficiently well informed to discharge their responsibilities;
• Representing the Client Group in Asia in regulatory change projects, ensuring the needs of clients are represented, then ensuring the business is aware of new requirements once finalised;
• Delivering the Asian requirements of global client group control programs;
• Acting as a local Financial Crime SME, supporting business management in resolving issues and overseeing policy compliance.

The knowledge, experience and qualifications you need

• Minimum 10 years in Asset Management is highly preferred
• Reliable – demonstrate accountability for your responsibilities on a timely and accurate manner
• Diligent - highly reliable, with excellent attention to detail and a disciplined approach to follow-through and timely follow-up.
• Organised – ability to effectively prioritise multiple tasks, meet deadlines, report on progress
• Effective communicator – an exceptional ability to communicate clearly both in writing and verbally
• Energetic – proactive and flexible work attitude alongside passion for delivering
• Results – driven and process-focussed – motivated by achieving results and delivery
• Time management – excellent conflict resolution and time management skills including the ability to maintain composure and diffuse challenging situations
• Collaborative – team driven, with an ability to influence and change the thinking of others
• Strategically minded – able to take a broader strategic perspective, particularly when it comes to development of fund and client solutions
• Relationship building – able to build strong relationships both internally and externally
• Deep knowledge of Fund structures and operational processes
• Able to challenge yourself and others constructively

We Recognise Potential, Whoever You Are

Our purpose is to deliver excellent investment performance to clients through active management. We believe diverse perspectives and an inclusive culture help us make better decisions and achieve better outcomes for our clients. That's why inclusion is a strategic priority for us, and we are an equal opportunities employer. You are welcome here, regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background, or any other protected characteristic.

We will consider flexible working arrangements for all roles and provide reasonable accommodations to support applicants and employees, including those with neurodiversity, disability, or physical and mental health needs. For more information, please visit our FAQs.