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VP Compliance, Securities Firm

Job Title: VP Compliance, Securities Firm
Contract Type: Permanent
Location: Singapore, Singapore
Industry:
Salary: Competitive Benefits
Reference: YSW108125_1551169954
Contact Name: Minal Vagal
Contact Email: mvagal@profileasia.com
Job Published: February 26, 2019 16:32

Job Description

Reporting to the CEO, you will be responsible for the following

  • Assume the day-to-day Compliance control function and ensure that the business operates in compliance with relevant legislations/regulations,
  • Provide compliance advice to the business on ongoing business as well as new products.
  • To establish, review and update the relevant compliance policies as required by the MAS for a Capital Markets Services licensee.
  • Manage interactions with regulators for any regulatory notification, licensing, reporting, inspection and investigation.
  • Develop a compliance risk assessment process and implementing a robust compliance monitoring/desk review programme.

You should have at least 8 years of relevant compliance experience with another brokerage firm and be a subject matter expert in local regulations (in particular the CMS framework. Effective communication skills as well as ability to solve problems are essential to success

Singapore Employment Agency Licence No: 16S8069

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