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Haitong International Securities Group Limited

Vice President, Compliance

Haitong Int’l Securities Group (Singapore) Pte Ltd Singapore
Posted 3 days ago Permanent Competitive
Haitong International Securities Group (Singapore) Pte Ltd is looking for a dynamic and all rounded individual to lead the Singapore Compliance function to support its growing business lines of securities financing, custodian services, FICC, institutional equity, private wealth management and corporate finance. The successful candidate will be leading a dedicated and professional compliance team. As Haitong International is rapidly developing its presence in Singapore, this role offers the successful candidate tremendous opportunity for growth, advancement and learning.

Job Responsibilities:

  • Develop and implement an effective compliance framework and ongoing compliance monitoring programs.
  • Identify any potential compliance risks and develop precautionary measures by developing and maintaining an effective internal compliance alert system.
  • Supervise the relevant business lines to ensure compliance with the applicable ordinance, rules and regulations at all times.
  • Coordinate and liaise with regulatory authorities for regulatory enquiries, reporting, inspection and investigation.
  • Provide compliance oversight and support to business development proposals directed by senior management or strategic business units.
  • Promote compliance awareness and culture within the firm and provide internal compliance training as appropriate.

Job Requirements:

  • Have excellent knowledge of Singapore regulations related to different investment products and businesses and well versed with Securities and Futures Act, Financial Advisers Act and the relevant regulations.
  • Good knowledge of international operations and compliance standard of brokerage business is a plus.
  • Independent, self-motivated and able to meet tight schedule.
  • Professional presentation and report writing skill.
  • Good command of written and spoken English and Chinese including Putonghua.
  • Candidate with more related experiences is welcome to apply.
Hong Kong
Investment Banking / M & A
Haitong International Securities Group Limited (“Haitong International”) is an international financial institution with established presence in Hong K...
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