about the company
Our Client is an established securities brokerage firm with a Global presence. Reporting to the Compliance Director, the ideal candidate is experienced in:
about the job
- Monitoring and reviewing the firm's compliance frameworks and policies
- Assisting and handling individual licensing related matters (e.g. appointment and cessation of licensed representatives with MAS)
- Preparing for submission of MAS regulatory returns, forms and surveys and for Head Office reporting
- Keeping abreast of the latest regulatory developments, performing gap analysis and updating/enhancing compliance policies, when necessary
- Providing effective compliance advisory support to the Business and other internal stakeholders (e.g. on new product initiatives)
- Liaising with internal and external auditors on audit related matters
skills and experience required
- Bachelor's Degree
- 3-5 years of relevant experience in a Bank/ Capital Market Services licensed firm
- Well-versed in relevant MAS regulations and SGX Rules
- Strong team player but also able to work independently when required to
- Strong communication skills
To apply online please use the 'apply' function, alternatively you may contact Stella at [email protected] (EA: 94C3609/ R22106517)
