Join and Grow with us!
We are looking for an experienced Compliance Manager with a strong understanding of regulatory frameworks and a proactive approach to ensuring compliance.
Key responsibilities
- Ensure that the entity is in compliance with MAS requirements on CMS licensed holders in the areas of governance, culture and conduct, selling practices and data protection.
- Advisory – Provide advice on regulatory and compliance issues
- Perform due diligence on prospective clients and conduct periodic reviews of existing clients.
- New business initiatives – Review new business and infrastructure initiatives to ensure compliance with local legislation
- Compliance policies and procedures – Review manuals and draft procedures to ensure that they are properly revised or updated when necessary. Develop and implement new manuals.
- Provide compliance related training to staff
- Regulatory interactions – Monitor regulatory developments and trends.
- Regulatory reviews-investigate and assist with regulatory inquiries, audits and examinations
- Licensing- Ensure that representatives are fit and proper and advise on registration requirements.
- Monitoring – Implementation of a robust Compliance monitoring programme, including conducting annual Enterprise Wide Risk Assessments.
- Develop close relationship with the Group’s Compliance team to ensure compliance with standards and framework are aligned.
- Collaborate with the business units to foster a positive compliance and governance culture through effective compliance awareness, engagement, advisory and monitoring programs.
Qualifications
- University graduate.
- Minimum 8 years of relevant work experience in the financial industry (preferably with a CMS licence holder).
- In-depth knowledge of the Securities & Futures Act, its relevant notices and guidelines and Personal Data Privacy Act.
- Sound judgment in identifying risks in order to proactively escalate to Management
- Meticulous with good analytical skills, detail-orientated, team player, proficient in time management and able to represent Compliance in Group projects.
- Demonstrate ability to effectively review and analyse data/situation and apply judgement to resolve issues in a timely manner.
