Associate Director, Regulatory Compliance

6 days ago

Singapore Aquis Search Full time

**Responsibilities**
- Identify, evaluate and assess compliance with laws, regulations and Group directives; investigate and escalate potential issues to Head of Compliance.
- Keep abreast of regulatory changes and disseminate regulatory updates
- Perform gap analysis and drive the implementation of new or revised regulatory requirements
- Assist in the development of compliance control plan and review program
- Perform Second Line of Defence controls on investment suitability and risk-based Compliance monitoring and testing
- Provide regulatory and policy advice to senior management and key stakeholders; recommend solutions to potential issues involving compliance or regulatory risk.
- Address MAS' queries in collaboration with internal stakeholders
- Prepare periodic and ad-hoc regulatory reporting and surveys; maintain registers required under the laws.
- Conduct awareness briefing and staff trainings
- Ensure that staff performing regulated activities obtain the necessary licenses (RNF).
- Monitor staff dealing activities and approval of gifts.
- Assist in the handling of complaints.
- Maintain and update the Compliance Regulatory Register.
- Coordinate inspections, audits, reviews and investigations for the Compliance Department.
- Participate in global compliance projects and support delivery in Singapore

**Requirements**:

- University Degree
- 7 - 10 years of compliance experience
- Strong MAS regulatory knowledge
- Team player and able to lead

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