AVP, Head of Compliance and Audit, Financial Advisory

Job Title: AVP, Head of Compliance and Audit, Financial Advisory
Contract Type: Permanent
Location: Singapore, Singapore
Salary: Competitive Benefits
Start Date: ASAP
Reference: OC107630_1527744439
Contact Name: Orelia Chan
Contact Email:
Job Published: May 31, 2018 13:27

Job Description

Reporting to the CEO, the Head of Compliance and Audit will be responsible for providing guidance on compliance matters in all aspects and levels of business.

Key responsibilities include:

  • Provide comprehensive regulatory advisory to business and operating units
  • Regular filing of reports with MAS and other regulatory bodies as required by the SFA/FAA, SFR/FAR
  • Draft, modify and implement relevant company policies and SOPs to ensure adherence to regulatory requirements
  • Full KYC and AML/CFT activities for the firm and its clients
  • Monitoring and working with management with respect to the base capital levels and risk ratios
  • Liaise and work with counterparties such as brokers and custodians
  • Keep abreast of regulatory developments within or outside of the company and evolving best practices
  • Set out risk-based audit plan for the company
  • Select and manage service providers to carry out internal audit engagements for the company
  • Act as the company's Data Protection Officer

Key requirements include:

  • BSc/BA in Law, Finance, Business Administration or related field
  • Certified compliance professional such as CAMS is a plus
  • Minimum 7 years' relevant experience in compliance with in-depth knowledge of the SFA/FAA and SFR/FAR
  • Excellent knowledge of reporting procedures and record keeping
  • Methodical and diligent with outstanding planning abilities
  • Solid communication skills with strong business acumen

Singapore Employment Agency Licence No: 16S8069

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