Regulatory compliance
2 months ago
Regulatory Compliance & Risk Culture, Principal / Consultant About the Role Reporting directly to the Associate Director, Regulatory Compliance & Risk Culture, this position is responsible for helping the Company manage and mitigate regulatory risk, particularly on market conduct compliance matters. Collaborate with business functions to foster a positive risk culture through effective risk and compliance awareness, engagement, advisory, and preventive programs. This position will also provide necessary mentoring and coaching to fellow team members. REGULATORY COMPLIANCE Provide ongoing compliance advisory and support to business functions on various business initiatives, ensuring compliance with existing and new regulations. Conduct gap assessments on new regulatory developments, liaising with various business functions to ensure new regulatory requirements are properly implemented and monitored. Ensure regulatory compliance registers are kept up to date and certified by Senior Management, embedding regulatory obligations into the business and monitoring remediation of any noted lapses. REGULATORY LIAISON: Liaise with key regulators and industry associations to ensure their requests and queries are promptly addressed. Facilitate engagement sessions with key regulators to manage AIAS' relationships effectively. Review and provide adequate challenge to business functions on responses to regulators, ensuring accuracy, consistency, and quality. Assist in reporting requirements to regulators, Group, Board of Directors, senior management, and other stakeholders as required. OTHER RESPONSIBILITIES: Provide necessary mentoring and coaching to upskill fellow team members. Financial Measures Prevent fines and penalties imposed by regulators for non-compliance with regulations. Non-Financial Measures Implement regulatory requirements at the local level by effectively communicating requirements to relevant departments/staff, identifying gaps, implementing action plans to mitigate gaps, and providing necessary training. Provide prompt compliance advice when handling queries. Complete gap assessments with business functions within stipulated timelines, ensuring new requirements are properly and timely implemented. Timely reporting to regulatory/statutory bodies. Prompt escalation of issues or potential delays to management. Complete all other responsibilities and duties assigned by the manager within stipulated deadlines. COMMUNICATION REQUIREMENTS: INTERNAL Regular engagement with relevant stakeholders regarding compliance-related issues/concerns/matters/queries. Periodic reporting (if required) and handling requests from Group. Engagement with Senior Management on important regulatory issues. EXTERNAL MAS, LIA, GIA, CPFB REQUIREMENTS: Bachelor Degree (or degree equivalent) with emphasis on accountancy, business/business administration/business management/business studies, insurance, or law. At least 6 years' relevant experience, preferably in the financial services industry, focusing on market conduct regulatory compliance for retail customers and liaison with MAS. LOMA, CMFAS papers will be an added advantage. SKILLS: Team player Good understanding of the Financial Advisers Act 2001 and its subsidiary legislations, guidelines, and relevant industry association's memos and their application to retail business. Liaison, relationship building, and communication skills (e.g., mediation). Building trust and credibility with Key Regulators by responding accurately, timely, and concisely. Project management skills Presentation skills Believe in better with AIA. If you work at AIA, you play an important part in this movement. We provide every opportunity to learn, grow, and shape your career - your wayBuild a career with us as we help our customers and the community live Healthier, Longer, Better Lives. #J-18808-Ljbffr
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Compliance Wise | Regional Legal Counsel
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Singapore Compliance Wise Full timeOKX will be prioritising applicants who have a current right to work in Singapore, and do not require OKX's sponsorship of a visa. Who We Are At OKX, we believe the future will be reshaped by technology. Founded in 2017, we are revolutionising world systems through our cutting-edge digital asset exchange, Web3 portal and blockchain ecosystems. We...
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Regulatory Compliance Manager
1 week ago
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Intern, Regulatory Compliance
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Regulatory Compliance Specialist
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Singapore NETWORK FOR ELECTRONIC TRANSFERS (SINGAPORE) PTE LTD Full timeRoles & ResponsibilitiesPosition SummaryThis role is responsible for ensuring organization’s adherence to all related and relevant compliance regulations. He/She will be the compliance advisory for various departments and collaborate with them to ensure observance to all regulations while achieving the organization’s goals.Key Responsibilities Ensure...
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Assistant Manager, Regulatory Compliance
2 days ago
Singapore INCOME INSURANCE LIMITED Full timeRoles & ResponsibilitiesThis role is within the Regulatory Compliance Section which is part of the wider Compliance Department at Income. The Compliance Department reports to the Head of Compliance.The candidate will have the opportunity to work closely with other Business Units (“BUs”) and stakeholders, including the Head of Compliance, in relation to...
