Senior Manager/associate Director, Regulatory

4 days ago

Singapore LION GLOBAL INVESTORS LIMITED Full time

**Senior Manager/Associate Director, Regulatory Compliance
**Responsibilities**:

- Assist the Section Head to supervise the day-to-day functioning of the regulatory compliance team and identify and implement processes that enhance efficiency and effectiveness of the regulatory compliance function.
- Assist the Section Head in providing guidance and mentorship to members of the regulatory compliance team and promote and cultivate a good and efficient working relationship between members of the regulatory compliance team.
- Keep abreast of relevant regulatory changes and amendments, assess their impact, notify relevant staff of these changes and organize training for relevant staff and management if necessary.
- Act as strong second line of defense to provide regulatory compliance advice and guidance to business units that balances regulatory requirements, risk mitigation and business objectives.
- Serve as interface/liaison with GE Group Risk, auditors and regulators where necessary and attend to their relevant requests. Monitor the resolution of findings of GE Group Risk, auditors and regulators and work with the relevant business units towards the resolution of these findings insofar as they relate to the regulatory compliance issues or regulated activities under the Securities and Futures Act undertaken by the Company and its registered representatives.
- Ensure that all significant regulatory compliance issues are brought to the attention of the Management Committee and the Board.
- Enhance and promote the Company’s and staff’s compliance with all relevant laws, regulations, internal policies and procedures of the Company including the implementation of processes to effectively monitor continuing regulatory compliance by the Company and staff.
- Discharge ad-hoc duties or projects assigned by the Section Head or Management.

**Job Requirements**
- Degree, preferably in Finance, Accountancy or Business.
- Minimum 7-10 years of regulatory compliance experience (in the financial industry would be preferable and in an asset management industry would be advantageous).
- Strong analytical and decision-making skills with good grounding in fundamental regulatory principles.
- Result-driven, strong time and project management and prioritisation skills with ability to multi-task and work under tight timelines.
- Meticulous and diligent individual with positive attitude.
- Good knowledge in financial products and markets.
- Good IT skills with knowledge in programming and coding would be an added advantage.

**Other Information**

Lion Global Investors Limited is committed to equal employment opportunity. Our employment decisions are made based on job requirements and qualifications, and regardless of age, race, gender, religion, marital status, family responsibilities, or disability.

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