Regulatory Compliance (AVP)
- Mar 10, 2021
Our client, a reputable Securities brokerage firm is looking to hire for a Regulatory Compliance role (AVP) for a permanent role. Job Scope
- Working closely with business unit management to provide counsel, advice and support to the business on compliance related areas
- Provide advisory services on transactional issues, for existing and new business initiatives and products
- Manage on-going regulatory matters
- Generate Compliance Rule, policies and procedures and related internal rules, or revise company existing Compliance Rule in line with Head Office policies and procedures.
- To assist Head of Legal and Compliance to adhere and be in compliance with local regulation and Group directives.
- Key focus on managing periodic KYC for existing clients
- Provide constructive advice and proposals to Business side and Management in order to improve effectiveness and efficiency of business on perspective of Compliance, and activate those practically.
- Maintain continuous and regular communication with our Head office and other group offices and make sure to maintain unified understanding and opinion for all businesses on legal and compliance perspectives.
- Support to make necessary documents of various agreements and contracts for all businesses.
- Regulatory compliance experience within securities brokerage
- Around 5 years relevant working experience in a similar function and industry
- Familiar with Securities & Futures Act, Financial Advisers Act and MAS Notices and Guidelines
- Strong communication and interpersonal skills
Due to the nature of the role, only Singaporeans will be considered.
If you are interested in this position, please apply today or email Constance Cho firstname.lastname@example.org
Morgan McKinley Pte Ltd
EA License - 11C5502
Reg No - R1876688