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Providing comprehensive regulatory advisory to business units and operating units and keeping key stakeholders updated on regulatory requirements developments
Initiating timely review on policies and procedures to keep it up to date with regulatory and Group internal control requirements
Executing and monitor the Compliance Program (e.g. AML assessment, compliance risk assessment, annual compliance work plan and periodic compliance reviews)
Liaising with regulators (MAS, Enterprise Singapore and relevant stock exchanges) and internal and external auditors on any inspection, queries, audit or new license application
Arranging compliance and regulatory training for staff to inculcate a culture of compliance within the Singapore office
Acting as the compliance control room for the Singapore office (e.g. maintain restricted lists and providing clearance for wall-crossing request)
Preparing regular reporting matters (e.g. monthly reporting to Group Compliance; filing Suspicious Transaction Reports)
Participating in special projects (such as application for new licenses/memberships/business) on an ad hoc basis
Other compliance work that may be assigned from time to time by Group Compliance
Requirements
Bachelor degree or above
At least 5 years of relevant compliance experience
Solid understanding of the SFA/FAA, SFR/FAR, MAS Notices and Guidelines
ICA qualifications will be viewed upon favorably, but not essential
Candidates with experience working with banks, brokerages, stock exchanges, regulators or fund management companies are welcome to apply
Good communication, interpersonal and influencing skills
