Responsibilities
- Perform compliance reviews and assessments on targeted compliance issues, investigations or potential problems
- Keep abreast of developments and changes in regulations governing the capital market and financial advisory industry. Plan, develop, monitor, revise and implement the Company’s compliance initiatives in response to such changes
- Preparation of various reports for submission to regulators/authorities
- Facilitate compliance-related training for staff and directors and promote compliance culture within the Company
- Handle other compliance duties and ad-hoc projects as assigned
Requirements
- A good degree in Accountancy, Business, Banking & Finance or Law
- Minimum 1-2 years of compliance experience in capital market and financial advisory industry
- Good understanding of regulations affecting business operations, which include but are not limited to the Securities and Futures Act (SFA), Financial Advisers Act (FAA) and Personal Data Protection Act (PDPA)
- Good command of English and communication skills
- Independent, driven, resourceful and meticulous
- High sense of responsibility and integrity
- Strong interpersonal and analytical skills
