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A Capital Market Licensed Broker is looking to hire an experienced compliance professional to help continuously develop, improve and implement a robust compliance programme to ensure their business is in adherence with MAS guidelines and regulations. This individual is expected to be results-oriented, able to can drive compliance initiatives and thrive in a high growth tech start-up environment.
about the job
Reporting to the Head of Compliance, your responsibilities include:
Advising the business on all compliance matters related to Securities and Futures Act (SFA), Securities and Futures regulations (SFR), and all relevant MAS notices ensuring the business is operating in accordance to the CMS license requirements
Conducting thorough research on new product initiatives and business proposals and providing input from a compliance perspective to mitigate potential risks to the business
Reviewing current policies, controls, manuals, and updating them as necessary
Carrying out trade surveillance and monitoring duties
Establishing and implementing a robust compliance monitoring programme on a periodic basis
Addressing queries from MAS and external authorities, as well as facilitating any internal and external audits
skills and experience required
Degree in Accountancy, Banking, Business or Law, or relevant professional qualification in financial services or audit
Minimum 5 years of relevant experience in Compliance within licensed Financial Institutions
Fluent Mandarin Chinese proficiency is necessary to liaise with stakeholders based in China who predominantly speak Mandarin Chinese
Good understanding of MAS Notices and Securities and Futures Act (SFA)
Ability to take initiative and operate independently; strong team player
To apply online please use the 'apply' function, alternatively you may contact at <98237297>. (EA: 94C3609/ )