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.
