Senior Associate / Assistant Vice President, Compliance

Responsibilities:

• Implementation of Policies and Procedures: Assist in the creation and implementation of new policies and procedures or, as appropriate, the update of existing policies and procedures.
• Strategic Projects and Initiatives: Participate in the company’s strategic projects and initiatives with other business units. Participate in the new product approval process and provide regulatory and compliance advice.
• Business Engagement: Provide regulatory compliance advice to the relevant business unit.
• Compliance Surveillance / Reviews: Conduct transaction monitoring, trade surveillance, e-communication surveillance across business lines.
• Marketing: Review of marketing materials to ensure adherence to regulatory requirements.
• General: Assist in the coordination of internal and external audits, designing and delivery of compliance training, maintaining the compliance and outsourcing register, and any other duties as assigned.

Requirements:

• Bachelor’s degree or equivalent. CAMS certification, ICA diploma or certification will bean advantage.
• Minimum of 5 years of demonstrated working experience in Compliance. Previous experience at a Capital Markets Services Licensee would be advantageous.
• Knowledge of Securities and Futures Act 2001, Financial Advisers Act 2001, Personal Data Protection Act 2012, Singapore Exchange Regulations and understanding of sales and trading products and practices.
• Self-starter, detail oriented and able to multi-task in a fast-paced environment.