Location: Singapore
Overview:
Class: Full-time and Permanent
Reports to: Head of Compliance, APAC
Responsibilities:
Position Purpose:
The incumbent will be responsible for business, regulatory compliance and reputational risks by ensuring adherence to laws and regulations, updating policies and procedures to comply with regulatory changes, advising businesses and senior management, managing audits and inquiries, conducting training and compliance testing.
Primary duties will include:
- Provide advice and guidance to business units and senior management on compliance, regulatory and policy areas
- Update policies, procedures and controls to meet regulatory requirements of MAS, MinLaw, SGX-DT, SGX-DC and regulators in APAC
- Supervise licensing, regulatory change management, complaints handling, compliance monitoring, conflict of interests management, cross-border marketing, market abuse, outsourcing, training and management reporting
- Provide advice and guidance on business expansion, innovative products, customer transactions and regulatory issues in APAC
- To conduct compliance risk assessment and ensure effective measures are in place to identify, assess and mitigate risks
- To support in audits, investigations and responding to queries from regulators and exchanges
- Participate in strategic projects to upgrade digital platforms
This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.
Qualifications:
To land this role you will need:
- At least 10 years of relevant working experience in financial services regulatory compliance or regulatory environment
- Has working experience in audit firms, banks, brokerages or financial services firms
- Deep understanding of MAS regulations, SGX-DT rules and best practices
What makes you stand out:
- Attentive to detail with strong analytical problem solving skills
- Agile mindset, collaborative and trustworthy team player
- Possess good knowledge or skill with compliance systems is advantageous
Education / Certification Requirements:
- University Degree in accounting, business, finance, law or related fields
- Professional certification in compliance is advantageous
Working environment:
- Hybrid (1-day WFH)
- Regular knowledge-sharing meetings and mentoring sessions
- No Travel Requirements
