Vice President, Compliance

3 months ago


Singapore Haitong Int’l Securities Group (Singapore) Pte Ltd Full time

Job Responsibilities:

  • 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.

Job Requirements:

  • Have excellent knowledge of Singapore 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 is a plus.
  • Independent, self-motivated and able to meet tight schedule.
  • Professional presentation and report writing skill.
  • Good command of written and spoken English and Chinese including Putonghua.
  • Candidate with more related experiences is welcome to apply.


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