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Regulatory compliance and licensing

2 months ago


Singapore JPMorganChase Full time

JOB DESCRIPTION Singapore Compliance ensures the development and maintenance of a strong compliance culture in Singapore by developing and maintaining program infrastructure that identifies measures and monitors compliance with applicable laws, regulations and rules that govern our business. Compliance teams work closely with business, legal, risk, and audit functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm’s compliance control environment. Singapore Compliance handles and provides regulatory advice, monitors compliance with applicable local regulatory requirements, and manages relationships with regulators in Singapore. As a Regulatory Compliance and Licensing Associate within the Singapore Licensing and Compliance team, you will handle and provide regulatory advice on licensing and registration matters and monitor compliance with applicable local licensing regulatory requirements. Job Responsibilities: Overseeing licensing and registration matters across all regulated entities and lines of business with the MAS and SGX, including the compliance of registered representatives with licensing obligations set out by the MAS and SGX. Proactively managing risks and escalating any licensing exceptions or issues to management. Providing advisory duties to business stakeholders on the regulatory scope of business activities and new initiatives and engaging business stakeholders on key compliance risks. Identifying and assessing key compliance risks and ensuring that they are effectively managed. Managing regulatory and internal reporting and relevant MAS submissions, liaising with regulators and external auditors. Maintaining good relationships with regulators, exchanges, auditors, and key stakeholders. Undertaking compliance monitoring and business reviews as required. Assisting the compliance team in reviewing consultation papers, regulatory development and changes, policies and procedures updates, and other ad-hoc tasks and projects as required. Required Qualifications, Capabilities, and Skills: Bachelor’s degree in Banking, Finance, or equivalent. Minimum of 3 years relevant experience in either banking, legal, compliance regulatory, or audit environment within the financial services industry. Team players who are independent, analytical thinkers with strong attention to detail; they should be proactive, self-motivated, and can quickly adapt to the fast-paced work environment. Good problem-solving skills coupled with the ability to recommend and be result-oriented and self-motivated. Good interpersonal and influencing skills; able to communicate effectively and provide timely advice to our stakeholders. Able to build and maintain effective working relationships with stakeholders and comfortable with interactions with all levels of management, external parties, and regulators. Effective business ethics and integrity when dealing with confidential and sensitive information. Familiar with all key information technologies and proficient in Microsoft tools. Preferred Qualifications, Capabilities, and Skills: Experience in handling Singapore licensing matters and/or providing compliance advisory will be an advantage. Good regulatory knowledge of Singapore regulations (such as Banking Act, Securities and Futures Act, Financial Advisers Act, etc.) as well as awareness of the financial regulatory environment. Good product knowledge in relation to banking and capital market products such as corporate finance, securities, derivatives, and equities. #J-18808-Ljbffr