Summary
We are looking for an experienced Compliance manager to join the Compliance team. This is a newly created role and assists the Head of Compliance in managing the day-to-day responsibilities of the Compliance department.
Key Job responsibilities
1. Manage and implement compliance policies and procedures, ensuring that it is sufficient to comply with regulatory requirements and internal policies.
2. Conduct audit and reviews of business departments, identifying areas of non- compliance and implementation of rectification.
3. Prepare and submit regulatory reports and filings to the regulators.
4. Keep abreast of updates, changes and trends in regulations, assess its impact on the company’s operations and ensure company is compliant with the regulations.
5. Provide and arrange for compliance related training to employees.
6. Provide advisory on compliance and regulatory matters involving new initiatives and product launches, ensuring regulatory requirements are met.
7. Monitor alerts arising from trade surveillance system, review alerts for unusual trading activities and escalate incident to senior management.
8. Manage inspections and queries from the regulators and exchanges.
Requirements
1. 5 to 8 years of compliance or legal work experience in a Financial Institution.
2. Good knowledge of Singapore MAS regulations and the rulebooks of the exchanges.
3. Excellent communication and interpersonal skills and able to collaborate with colleagues across departments.
4. Good attention to details and the ability to work independently.
5. Proficient in Microsoft Office software (Word, Excel and PowerPoint).
