As a member of a small compliance team, you will report and assist the Country Head of Compliance on compliance advisory including managing regulatory updates, regulators’ inspections, licensing queries, drafting of policies and procedures etc. You will also have responsibility on compliance monitoring and surveillance activities i.e. staff dealing, gift and entertainment, thematic reviews, maintaining the monitoring program and trade surveillance. Other core compliance tasks are conducting compliance induction training, managing registration process and registers and reporting.
To qualify for the role, you should possess at least 5 years of relevant compliance experience, preferably with knowledge of capital markets industry. Knowledge of Singapore regulations such as Securities & Futures Act and SGX-ST rules. Good interpersonal skills, analytical and attention to details are desirable traits.
Interested applicants, please reach out to me at firstname.lastname@example.org . Your interest will be treated with the strictest confidentiality.
EA Reg. No. R1105493
EA Licence No. 16S7973