Senior Executive, Compliance

Responsibilities:

We are looking for compliance personnel to assist in enhancing the compliance risk framework of the company. The candidate will help to manage and execute the compliance programs, provide policy guidance and to carry out compliance training for the company’s diversified investment business groups. Depending on the candidate’s experience, duties will include the following:

• Conduct compliance reviews and monitoring/surveillance across the company’s business activities (e.g. in financial advisory, securities/derivatives broking, fund management);
• Develop risk-based compliance programs to facilitate the execution of compliance reviews and monitoring;
• Advise the business units in meeting regulatory requirements through implementing appropriate compliance risk policies, assisting with the design and implementation of risk and compliance management initiatives, and enhancing and improving internal processes and procedures.
• Review the completed risk and compliance assessment returns from each area of the business, identifying trends and areas of concern and working with the business units to reduce any unacceptable exposures to regulatory risk;
• Provide compliance training and support through issuing of internal compliance updates and training modules;
• Liaise with regulators and/or auditors on their queries and inspections from time to time.

Requirements:

• Experience in compliance, trade surveillance, audit, or risk management in the financial industry (financial advisory, securities, derivatives or fund management) preferred. Persons in other roles in the financial industry (e.g. securities dealing) who are considering a switch to compliance may also be considered.
• Knowledge of key applicable regulations e.g. Securities & Futures Act, Financial Advisers Act, MAS Notices and Guidelines, AML/CFT regulations, is advantageous
• Good writing, communication and presentation skills
• Good analytical, interpersonal, influencing skills
• Be able to work independently and monitor timelines
• Team player