Vice President, Compliance
3 months ago
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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