Responsibilities
- Assisting in compliance functions such as designing and performing compliance monitoring /surveillance and reviews to ensure compliance with applicable laws and regulations
- Interpret and analyze new or revised regulatory requirements, and providing advisory support to business units and the management to ensure they adopt adequate measures to manage/mitigate compliance risks.
- Timely escalation of adverse or significant compliance/regulatory issues to management
- Design compliance training materials/regular training to business units to ensure they remain abreast of latest regulatory developments.
- Assist the team in the liaison function with regulatory bodies and industry associations in terms of inspections, official communications, submissions, requests, etc.
- Preparing periodic reports to the Senior Management/relevant Committees on compliance reporting based on FAA, SFA and related relevant regulations requirement.
Requirements
- Bachelor Degree in Accountancy, Business, Banking & Finance or equivalent qualification
- Possesses 5 years of relevant experience in Compliance, Internal or External Audit
- Good understanding of the regulatory framework for securities business, including but not limited to Securities and Futures Act, Financial Advisers Act, SGX-ST Rules and AML/CFT financial crime-related regulatory requirements.
- Experience of interacting with the local regulators, auditors, authorities/associations
- Strong ability in assessing the appropriateness of the FI's compliance procedures and guidelines and evaluating compliance with requirements.
- Good team player with excellent interpersonal and communication skills due to significant interaction with both senior and experienced colleagues across the organization.
- Independent worker with strong analytical skills, high level of integrity, drive and sense of urgency.
Interested candidates who wish to apply for the advertised position, please click on "Apply Now". We regret that only shortlisted candidates will be notified.
PERSOLKELLY Singapore Pte Ltd • RCB No. 200007268E
EA License No. 01C4394 • EA Registration No. R23114347 (Pang Xue Ni)
