Manage compliance and regulatory responsibilities while ensuring adherence to legal standards and maintaining high integrity in a leading securities company.
About the company:
One of China's largest and most prestigious securities companies. With a strong presence in the Asia-Pacific region, the firm offers a comprehensive range of services including brokerage, asset management, investment banking, and research. The company is committed to providing innovative financial solutions and maintaining high standards of compliance and legal integrity.
Key Responsibilities:
- Good knowledge in regulatory (SFA,FAA,FAR), exchange (SGX ST/DT/DC) and/or AML compliance
- Manage licensing, cross border, personal account dealing, outside business, trainings and any other activities under the Compliance monitoring plan
- Handle and/or support regulatory submissions, enquiries, surveys, audits and maintain pro-active, good working relationship with the regulatory authorities
- Monitor, review, and manage announcements, circulars, prohibition orders and offer documents to be disclosed
- Investigate and manage the post AML transaction monitoring alerts and trade surveillance alerts
- Perform gap analysis, update and implement policies, procedures and controls to meet regulatory requirements of MAS, SGX-ST, SGX Clearing, SGX-DT, SGX-DC.
- Conduct compliance assurance reviews and testing on business units’ processes and controls to assess level of compliance with applicable regulatory/industry requirements, identify gaps, provide recommendations, escalate issues/risks promptly and work with business units to implement timely remedial actions
- Provide support for audits and/or regulatory inspection
- Manage and/or provide support to the Compliance team on compliance specific projects and compliance monitoring plan
Qualification:
- Degree in Law/ Accounting/ Business/Economics/Finance or other comparable qualifications
- 5-10 years of work experience in areas of compliance, legal transactional and/or risk management
- Familiar with relevant laws, rules and regulations such as SGX-ST/DC/DT Rules, SFA, FAA, FAR, MAS Regulations, Companies Act, etc
- Good interpersonal skill, trustworthy, collaborative and can perform independently
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