Head of Compliance (Singapore)

CGS-CIMB Securities (Singapore) Pte Ltd; Singapore; On-site; SGD 120,000 - 180,000; Full time

Job summary

A leading financial services provider in Asia seeks a Compliance Officer to oversee regulatory compliance and implement effective compliance programs. The ideal candidate will have over 15 years of related experience in the financial industry and the ability to communicate effectively, especially in Chinese, to engage with stakeholders.

Qualifications

• 15 years of compliance-related experience in the financial industry.
• Proficiency in Chinese is an advantage.
• Ability to lead and build collaborative relationships.

Responsibilities

• Identify and advise on company's compliance with regulatory requirements.
• Develop and implement compliance programs and policies.
• Prepare compliance reports for stakeholders.

Skills

Analytical thinking

Good communication skills

Problem solving

Education

Bachelor's Degree

Job description

About the job

About CGSI

CGS International Securities Pte. Ltd. (CGS International) is an award-winning and market leading integrated financial services provider, ranked among the top securities houses in Asia.

CGS International taps on our wealth of global and ASEAN insights to offer equities trading, leveraged products, wealth management, investment banking, equities research, Shariah-compliant financing, fixed income, currency and commodities, structured products, and prime brokerage services in over 15 countries and regions.

Along with its parent organization China Galaxy Securities, a leading securities house in China, CGS International is trusted by more than 15 million customers globally.

Job Responsibilities:

• Identify, assess, interpret and advise, monitor and report on the company’s compliance with regulatory requirements.

• Responsible for the compliance and AML/CFT framework.

• Develop and implement a consistent approach to the Compliance programs, policies and practices

• Maintain subject matter expertise to advise management and business units on any regulatory issues.

• Keep track of new regulatory developments and advise the relevant departments on the potential implications.

• Prepare and submit compliance reports to various stakeholders including Board of Directors and Head Office.

• Work with internal stakeholders to respond to queries from external parties such as regulators and auditors.

• Review new and revision to the company's policies and procedures.

• Ensure that all complaints are properly investigated and reviewed.

Job Requirement:

• A good understanding of the applicable laws, rules and standards that apply to the various businesses that the company is involved in.

• Analytical thinking and good communication skills

• Actively helps to seek solutions to achieve business objectives while complying with regulatory laws and requirements

• Bachelor's Degree

• At least 15 years of compliance related experience in financial industry.

• Proficiency in Chinese will be an advantage to liaise with our Chinese business partners

• Effective leader with the ability to motivate and build good rapport and collaborative working relationships with all levels of staff.

• A good understanding of the applicable laws, rules and standards that apply to the various businesses that the company is involved in.