Compliance & Risk Management Manager

Found in: Talent SG 2A C2 - 2 weeks ago


Singapore HAITONG INTERNATIONAL SECURITIES GROUP (SINGAPORE) PTE. LTD. Full time
Job Description:

-Provide oversight on all compliance and risk management matters across business operations with relevant l-legislation/ regulations/ rules/ internal policies

-Monitor and assess regulatory updates, and provide advisory on compliance and risk implications of business decisions, both for on-going issues and in project decisions

-Provide advice and conduct training on regulatory and risk matters internally

-Liaise and coordinate with MAS and SGX on all reporting and submission requirements as well as addressing any queries

-Provide advice to CEO and management team on new products and initiatives including all regulatory and risk requirements. Support management through the provisions and implementation of new policies

-Build and maintain strong framework of compliance and risk management policies, procedures and programs, including but not limited to enterprise-wide risk assessment and annual compliance monitoring review program

-Work closely with internal stakeholders to deliver compliance and risk programs in Singapore office

-Establish and maintain effective relationship with MAS, SGX and other relevant authorities

-Provide assistance in legal matters and liaise with external legal counsel

-Undertake additional functions and duties when required

Requirements:

-Graduate with a Degree in Finance/ Accountancy/ Law

-At least 5 - 10 years of experience within Compliance and/ or Risk Management function in banks/ brokerage firms and experience in various businesses (e.g. corporate finance, global markets, asset management, private wealth management, institution equity) will be an added advantage

-Strong knowledge of SFA & FAA (including its subsidiary legislations and related regulatory instruments issued by MAS) as well as SGX rules requirements

-Oversight experience in compliance/ risk management monitoring programs/ models, or policy drafting experience

-Self-motivated individual who can accomplish tasks independently to meet compliance objectives and with excellent communication and stakeholder management skills

Interested applicants, please send your resume to sg.hr@htisec.com

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