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.
Bachelor’s degree in any discipline
Relevant working experiences in regulatory compliance within securities brokerage/ private bank/ wealth management
Familiar with Securities & Futures Act, Financial Advisers Act and MAS Notices and Guidelines
Strong communication and interpersonal skills
For interested parties, please send resume to We regret that only shortlisted candidates will be notified Capita Pte Ltd | EA Licence No 08C2893 | RCB No. M Grace Chuah Chia Wen | EA Registration No : R