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Head of Compliance, Securities Firm

Job Title: Head of Compliance, Securities Firm
Contract Type: Permanent
Location: Singapore
Industry:
Salary: competitive benefits
Reference: YSW1010714_1624352677
Contact Name: Minal Vagal
Contact Email: mvagal@profileasia.com
Job Published: June 22, 2021 17:04

Job Description

A global brokerage firm is looking to hire Head of compliance for Singapore. This role will manage a team and report to the Group Head of Compliance. You will be responsible for the following.

  • Coordinate and liaise with regulatory authorities for regulatory enquiries, reporting, inspection and investigation.
  • Oversee the relevant ordinance, rules and regulations applicable to the trades of the Group are compiled with by all concerned at all times.
  • Provide compliance advisory on key regulatory requirements.
  • Conducted compliance reviews on key areas identified from the compliance work plan
  • Conduct business specific regulatory and compliance training

Bachelor with 8+ years of compliance experience in a financial services firm. People management and leadership experience is a must. Must have excellent knowledge of regulations related to different investment products and businesses and well versed with Securities and Futures Act, Financial Advisers Act and the relevant regulations.

Singapore Employment Agency Licence No: 16S8069

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