Head of Compliance recruitment
Job Title: Head of Compliance
Location: Singapore
Responsibilities:
• Overseeing the Compliance and Financial Crime Prevention (FCP/AML) activities of the Firm
• Help support the Firm’s compliance with all relevant laws and rules other than those related to employment matters, tax, finance and general corporate matters, and efforts to avoid being disadvantaged by fraud (Compliance and FCP mandates)
• Assisting in the development and promulgation of relevant policies and procedures related to Compliance and FCP mandates
• Assisting in the development and education of employees for the Firm related to both Compliance and FCP initiatives
• Developing and managing a program to help detect violations of the Compliance and FCP mandates
• Promoting effective and positive relationships with regulators and self-regulatory organizations responsible for enforcing the Compliance mandates
• Ensure cooperation with all inspections or investigations, including, providing responses to all requests for documents and other information
• Advising on new products to ensure compliance with Compliance and FCP mandates and the Rules and Regulations established by regulators
Requirements:
• Must have at least 8 years of relevant experience gained from banking and financial institution
• Familiar with the MAS Securities Futures Act Financial Advisers Act, and preferably familiar with the SGX Futures Trading Rules and SGX-DC Clearing Rules
• Experience in handling the compliance function of a capital markets services licence holder trading in futures contracts or dealing in securities, and/or a SGX Derivatives Member is preferred
• University Degree in Legal or other professional qualifications is a desire