Legal & Compliance, AVP/VP

  • Competitive
  • Singapore
  • Permanent, Full time
  • The SR Group (Singapore) Pte Ltd , EA Licence No: 17S8475
  • 12 Nov 18

One of the leading Investment Management/Financial Services firm is looking for a Compliance specialist with strong regulatory experience in securities/capital markets. You must have at least graduated with a law degree, preferably someone that has been called to the bar.

Responsibilities:

  • Interpret and assess regulatory updates, ensure that business is kept aware of changes and training is provided to the necessary parties
  • Provide advice to business heads on new products and initiatives - this includes general code of conduct and ethics requirements
  • Identify and mitigate high risk areas
  • Advise on the implementation and maintenance of regulatory policies and framework
  • Assist in documentation and contract review on an ad-hoc basis

Requirements:

  • Between 4-9 years of experience in the capital markets/securities regulations
  • Graduated with a law degree, preferably someone that has been called to the Bar
  • Must be comfortable managing regulatory compliance independently
  • Strong written and spoken communication skills
  • Ability to work effectively in a lean and small team