Compliance & Risk Management Manager

2 weeks ago

Singapore HAITONG INTERNATIONAL SECURITIES GROUP (SINGAPORE) PTE. LTD. Full time

Job Summary:
Haitong International Securities Group (Singapore) Pte Ltd is looking for a dynamic and all rounded individual to provide compliance and risk management support for its growing business lines of securities financing, asset management, private wealth management, custodian services, institutional equity and corporate finance.

**Job Description**:

- Provide oversight on all compliance and risk management matters across business operations with relevant legislation/regulations/rules/internal policies
- Monitor and assess regulatory updates, and provide advisory on compliance and risk implications of business decisions, both for on-going issues and in project decisions
- Provide advice and conduct training on regulatory and risk matters internally
- Liaise and coordinate with MAS and SGX on all reporting and submission requirements as well as addressing any queries
- Provide advice to CEO and management team on new products and initiatives including all regulatory and risk requirements. Support management through the provisions and implementation of new policies
- Build and maintain strong framework of compliance and risk management policies, procedures and programs, including but not limited to enterprise-wide risk assessment and annual compliance monitoring review program
- Work closely with internal stakeholders to deliver compliance and risk programs in Singapore office
- Establish and maintain effective relationship with MAS, SGX and other relevant authorities
- Provide assistance in legal matters and liaise with external legal counsel
- Undertake additional functions and duties when required

**Requirements**:

- Graduate with a degree in finance / accountancy / law
- At least 7 years of experience within Compliance and/or Risk Management function in banks/brokerage firms and experience in various businesses (e.g. corporate finance, global markets, asset management, private wealth management, institution equity) will be an added advantage
- Strong knowledge of SFA & FAA (including its subsidiary legislations and related regulatory instruments issued by MAS) as well as SGX rules requirements
- Oversight experience in compliance/risk management monitoring programs/models, or policy drafting experience
- Self-motivated individual who can accomplish tasks independently to meet compliance objectives and with excellent communication and stakeholder management skills

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