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Compliance Manager

4 months ago

Singapore HAITONG INTERNATIONAL SECURITIES GROUP (SINGAPORE) PTE. LTD. Full time
Roles & Responsibilities

Job Description

  • Develop and implement an effective compliance framework and ongoing compliance monitoring programs.
  • Identify any potential compliance risks and develop precautionary measures by developing and maintaining an effective internal compliance alert system
  • Supervise the relevant business lines to ensure compliance with the applicable ordinance, rules and regulations at all times
  • Coordinate and liaise with regulatory authorities for regulatory enquiries, reporting, inspection and investigation
  • Provide compliance oversight and support to business development proposals directed by senior management or strategic business units
  • Promote compliance awareness and culture within the firm and provide internal compliance training as appropriate

Requirements

  • Minimum 10 years’ experience in the financial industry
  • Have excellent knowledge of regulations related to different investment products and businesses and well versed with Securities and Futures Act, Financial Advisers Act and the relevant regulations.
  • Good knowledge of international operations and compliance standard of brokerage business in overseas operations is a plus.
  • Independent, self-motivated and able to meet tight deadline.
  • Professional presentation and report writing skill.
  • Good communication and interpersonal skills.

Tell employers what skills you have

Report Writing
Brokerage
Due Diligence
Regulatory Compliance
Interpersonal Skills
Investigation
Risk Management
Securities
Compliance
Audits
AML
Regulatory Requirements
KYC
Business Development
Audit
Financial Services