Roles & Responsibilities:

• Provide advisory services on transactional issues, for existing and new business initiatives and products
• Manage on-going regulatory matters
• Generate Compliance Rule, policies and procedures and related internal rules, or revise company existing Compliance Rule in line with Head Office policies and procedures.
• To assist Head of Legal and Compliance to adhere and be in compliance with local regulation and Group directives.
• Key focus on managing periodic KYC for existing clients
• Provide constructive advice and proposals to Business side and Management in order to improve effectiveness and efficiency of business on perspective of Compliance, and activate those practically.
• Maintain continuous and regular communication with our Head office and other group offices and make sure to maintain unified understanding and opinion for all businesses on legal and compliance perspectives.
• Support to make necessary documents of various agreements and contracts for all businesses.

Regulatory compliance experience within securities brokerage:

• Around 5 years relevant working experience in a similar function and industry
• Familiar with Securities & Futures Act, Financial Advisers Act and MAS Notices and Guidelines
• Strong communication and interpersonal skills

Kindly indicate your current/last salary details and also your notice period

Office Location: Central

Interested candidates kindly forward your CV to adoralee@pplesearch.com (Adora Lee, Reg No: R1879177)

All information will be kept strictly confidential. We regret to inform that only successful applicants will be contacted

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