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Haitong International is expanding its footprint in Singapore. It is looking for a dynamic and driven compliance professional to join its Compliance – Singapore team to provide regulatory compliance services to its Singapore Office. The successful applicant can expect to be exposed to a variety of complex and challenging regulatory and compliance work which would allow him/her to develop and grow into an all rounded generalist and competent compliance professional.
Keep abreast of regulatory developments and provide regulatory advisory to business and support units
Conduct annual compliance risk assessment and enterprise-wide risk assessment, prepare annual compliance work plan and perform compliance reviews and monitoring in accordance with established compliance procedures
Prepare and revise relevant local compliance procedures periodically to keep it up to date with regulatory requirements and Group standards
Liaise with regulators (MAS, SGX) on any inspection or licence or membership application or any regulatory matter, with internal and external auditors on audit requests and follow-up on inspection or audit findings and reports
Provide training to staff and liaise with external vendors to provide training to staff
Prepare and submit regular reports to Compliance - HQ and perform other tasks as may be assigned by Compliance - HQ
Maintain Restricted Lists for Singapore Office for submission to Group Control Room
Maintain compliance registers (outsourcing, gifts, complaints, licensed representatives, FRCs, regulatory breaches and audit tracker) for Singapore Office
Perform checks (bankruptcy, legal, ML/TF and reference check) for representative licence application and submit licence applications to the MAS and other staff screening checks
Handle complaints and PDPA matters
File suspicious transaction reports to the STRO as and when suspicious transactions are escalated to Compliance
Perform other regulatory and compliance work that may be assigned by the Compliance - Singapore Head from time to time
Bachelor's degree or above
3 – 8 years of relevant experience – candidates with more relevant experience shall be considered for Assistant Manager / Manager position
ICA qualifications will be viewed upon favorably, but not essential
Law diploma or degree holders advantageous, but not essential
Working knowledge of the Securities and Futures Act and Financial Advisers Act, subsidiary legislation and MAS Notices and Guidelines, including AML/CFT, Outsourcing and Risk Management, and knowledge of the PDPA
Candidates with experience working with banks, brokerages, stock exchanges, regulators or fund management companies are welcome to apply
Basic conversational Putonghua essential
Ability to work independently without supervision
Good soft-skills: communication, interpersonal and influencing skills, ability to think out of the box
Internal Number: 5616674
About Haitong International Securities (Singapore) Pte. Ltd.
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