Compliance Specialist / Manager

Principal Responsibilities

• Conduct investigations in relation to market misconduct complaints and follow-up actions
• Perform market conduct compliance reviews, monitor and implement follow-up actions
• Liaise with the Regulator and relevant Government Agencies
• Maintain and revise policies and procedures for the general operation of distribution compliance activities
• Cover duties of team leader and members in his/her absence
• Any other ad-hoc duties and projects assigned

Requirements

• Diploma in Compliance or equivalent or Degree in Business, Finance or equivalent
• Has relevant experiences in compliance, or investigation background from law enforcement agencies
• Knowledge in Financial Advisers Act (FAA) and relevant MAS Notices and Guidelines.
• Strong Analytical Skills
• Meticulous
• Strong Communication and Writing Skills