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Senior Regulatory Compliance Officer

3 weeks ago

Singapore HUATAI SECURITIES (SINGAPORE) PTE. LIMITED Full time

**Responsibilities**:

- Advise local and regional management and business about regulations and local/regional compliance matters
- Assist and advise client onboarding and AML related matters
- Plan, design and execute the annual compliance review program; regularly select areas of operations for compliance review or self-assessment based on risk-based approach
- Maintain the daily working relationship with regulators and external law firms; track, evaluate and implement the latest regulatory and legal requirements, and be responsible for coordinating and completing various regulatory replies and reporting, and circulating key regulatory and compliance related information
- Coordinate with overseas offices to prepare ad hoc and periodic Compliance reports for regional and Headquarters Compliance and senior management and to disseminate group compliance related information
- Maintain general compliance related administrative record and provide assistance in all internal and external inspections, audits or reviews
- Provide and maintain compliance training program; monitor and keep training records and staff dealing matters in accordance with internal/external requirements
- Assist in drafting, implementing, and reviewing compliance policies and procedures
- Ad hoc tasks on request

**Qualification**
- Degree holder of reputable university
- Minimum 10 year of experience with 5 years of experience in Compliance, Legal, Audit, or regulators of securities and investment banking industry
- Well versed with relevant Singapore securities industry regulatory requirements and market practices
- Firsthand experience in interacting with regulators and experience in team management preferred
- Mature, thoughtful, strong analytical and problem solving skills with an aptitude for technology
- Proactive, strong team player and able to work independently
- Strong project management and interpersonal, coordination and communication skills
- Bilingual with proficiency in both Chinese (Mandarin) and English languages. Good verbal and written presentation skills