Oversee the regulatory function, monitor, enhance and manage the Singapore and Hong Kong licensed entities’ compliance with regulatory requirement
Develop, maintain, review, and implement local policies, procedures, and controls
Assist in regulatory notifications, license applications, and submission to MAS and SFC
Keep abreast of all related local and regional compliance matters
Provide compliance advisory support to Business units
Provide regulatory support such as managing licensing, reporting, and conduct requirements
Perform KYC / AMLCFT checks and represent compliance function during client onboarding meeting
Carry out compliance reviews to ensure that the Company complies with rules and regulations as well as with the company’s policies and internal control procedures
Liaise and coordinate with regulatory bodies, external/ internal auditors, and various stakeholders on audit and various compliance matters
Conduct compliance training programs
At least 2 years of significant compliance experience, preferably in Financial Services with experience in Securities and Futures Act and Financial Advisory Act and relevant guidelines, notices, and circulars.
Good knowledge and understanding of Singapore Regulatory requirements (Dealing and Advising in Securities and Derivatives, in addition, some Hong Kong regulatory knowledge and understanding (Type 1,2,4 and 5 License Type) relating to capital markets where possible
Good understanding and experience in AML/KYC Onboarding especially Institutional Clients
Basic understanding of Capital Market Products including Advisory.