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 analyse 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:
- Degree in Accountancy, Business, Banking & Finance or equivalent qualification
- At least 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
We apologize that only shortlisted candidates will be contacted. Thank you
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PERSOLKELLY Singapore Pte Ltd • RCB No. 200007268E
EA Registration No. R1653100 (Goh Jia Zhen Crystal)
