Global Compliance and Regulatory Affairs Director

4 days ago


Singapore HAITONG INTERNATIONAL SECURITIES GROUP (SINGAPORE) PTE. LTD. Full time
Job Title: Global Compliance and Regulatory Affairs Director

Company Overview:

Haitong International Securities Group (Singapore) PTE. LTD.

Estimated Salary:

$200,000 - $300,000 per annum

Job Description:

The role of the Global Compliance and Regulatory Affairs Director is to provide oversight on all compliance and risk management matters across business operations with relevant legislation/regulations/rules/internal policies. You will monitor and assess regulatory updates, providing advisory on compliance and risk implications of business decisions, both for ongoing issues and in project decisions.

You will 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 the 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.

You will build and maintain a 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 relationships 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.

Required Skills and Qualifications:

  • 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


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