Executive, Representative Licensing & Regulatory (2-year contract)

Maybank Securities is a leading brokerage house and investment bank in ASEAN. Maybank Securities provides services in corporate finance, debt markets, equity capital markets, derivatives, retail and institutional securities broking and research.

Job Description:

MSSG is looking for a detail-oriented and proactive Executive, Representative Licensing & Regulatory Administration to support the operation and administration and licensing of Representatives.

Key Responsibilities:

Representative Licensing & RNF Administration

• Coordinate end-to-end administration of Representative matters under the Representative Notification Framework (RNF), including appointments, conversions, changes to regulated activities, updates to particulars and cessations of Representatives.
• Review Representative applications, declarations, and supporting documentation for completeness and accuracy, and liaise with Representatives, Human Capital, and business units to obtain outstanding information.
• Review Representatives proposed regulated activities, qualifications, examination status and exemption applications, and escalate to Tripartite where assessment is required.
• Coordinate and process representative applications and notifications, including the preparation of supporting documentation, internal approvals and submissions through MAS TX Portal, SGX Members Portal and other applicable regulatory systems.
• Maintain and administer the Representative Register and related licensing records, including Representatives regulated activities, representative numbers, assigned codes, examination and exemption status, and provide licensing information to relevant stakeholders where required.

Fit & Proper Oversight

• Coordinate and administer fit and proper assessments, including collection of fit & proper declarations, supporting documents and internal assessments.
• Maintain records of fit and proper assessments, approvals, mitigating controls and follow-up actions, and escalate material or overdue matters to Tripartite for review.

Training, Competency & Declaration

• Monitor Representatives examination, competency and Continuing Professional Development (CPD) requirements, and escalate material or overdue matters where necessary.
• Monitor key regulatory milestones and deadlines, including licensing notifications, annual declarations and other representative-related obligations.
• Coordinate disclosures relating to conflicts of interest, outside business interests and other regulatory or internal disclosure requirements pertaining to Representatives.

Records, Reporting & Process Improvement

• Maintain proper records and audit trails to support internal reviews, audits and regulatory inspections.
• Prepare periodic management reports and statistics relating to representative licensing, competency status, fit and proper reviews and related matters.
• Support system enhancements, process improvements and user acceptance testing relating to representative administration.
• Maintain licensing procedures, process guides and supporting documentation.

Stakeholder Coordination

• Act as the primary coordination point between Compliance, Human Capital and business stakeholders on Representative licensing and RNF matters.
• Provide procedural guidance on licensing applications, documentation requirements, submission processes and competency requirements.
• Work closely with Human Capital to ensure alignment between employment lifecycle events and regulatory obligations.

Pre-Requisites

• At least 2 to 5 years of relevant experience in representative licensing administration, Human Resources Operations, Employee Lifecycle Administration, compliance support or a related function.
• Experience within a financial institution, capital markets environment or regulated industry will be an advantage.
• Exposure to representative licensing, regulatory administration, employee governance, or fit and proper assessments would be beneficial.
• Strong attention to detail and accuracy.
• Good organisational, coordination and record-management skills.
• Ability to manage multiple tasks, deadlines and stakeholders in a fast-paced environment.
• Strong written and verbal communication skills.
• Proficient in Microsoft Excel, PowerPoint, Word and data management.
• Ability to handle confidential and sensitive information with discretion.
• Process-oriented mindset with an interest in continuous improvement and automation.