About the company
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 organisation 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, advise on, monitor and report the Group's compliance with applicable regulatory requirements across the Wealth Management, Asset Management and Private Equity businesses. Conduct compliance risk assessments and oversee AML/CFT controls, client onboarding and ongoing monitoring processes.
- Oversee suitability and appropriateness assessments, cross-border business activities, high-net-worth client protocols, private fund distribution activities and private equity investment-related compliance matters.
- Develop, implement and maintain a consistent compliance framework, policies, procedures and governance standards across the Group's Wealth Management, Asset Management and Private Equity businesses.
- Maintain subject matter expertise and provide practical regulatory and compliance advice to management and business units on Wealth Management, Asset Management, Private Equity and related investment activities.
- Support new product launches, fund structures, alternative investment products, private equity investments and strategic business initiatives by providing regulatory and compliance advisory.
- Monitor regional regulatory developments and assess their implications on the Group's Wealth Management, Asset Management and Private Equity businesses.
Job Requirements:
- Min a Bachelor Degree
- Strong understanding of laws, regulations and industry standards applicable to Wealth Management, Asset Management, Capital Markets and Private Equity businesses.
- Strong analytical, problem-solving and stakeholder management skills.
- Ability to provide practical, risk-based solutions while balancing regulatory requirements and commercial objectives.
- Experience dealing with regulators and senior management across multiple jurisdictions.
- Legal qualification and/or prior legal experience in financial services, investment funds, private equity, capital markets or regulatory matters would be an advantage.
- Minimum 15 years of relevant compliance, legal, regulatory and/or risk management experience covering Wealth Management, Asset Management, Private Equity, Capital Markets or related financial services businesses
- Leadership, strategic thinking, collaboration, stakeholder management, independence, sound judgment, integrity, professionalism, and excellent written and verbal communication abilities.
