Senior Compliance Manager
1 week ago
StriveX APAC Compliance Role
StriveX is looking for an experienced Senior Compliance Manager to join its APAC Compliance team. This is an exciting opportunity to provide business and regulatory compliance advice and guidance to business units and senior management.
Key Responsibilities:
- Provide business and regulatory compliance advice and guidance to business units and senior management
- Update policies, procedures, and controls to meet regulatory requirements
- Supervise licensing, regulatory change management, complaints handling, compliance monitoring, conflict of interest management, cross-border marketing, market abuse, outsourcing, training, and management reporting
- Advising on business expansion, innovative products, customer transactions, and regulatory issues in APAC
- Perform compliance risk assessments and ensure effective measures are in place to identify, assess, and mitigate risks
- Assist in audits, investigations, and responding to queries from regulators and exchanges
Requirements:
- Minimum 10 years of experience in regulatory compliance in financial services or regulatory environments
- Work experience in audit firms, banks, brokerages, or financial services firms
- Professional certification in compliance is advantageous
Contact: Suhani Malhotra at smalhotra@strivex.sg for a confidential discussion.
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