Manager, Compliance

5 days ago

Singapore Haitong International Securities Group Limited Full time

The Job:

- 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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