Head of Compliance recruitment

We are a well established Wealth Advisory Firm in Asia Pacific. We are now seeking an experienced Compliance Head to join a team that will offer you challenges and opportunities to meet your career aspirations.

Reporting to CEO, you will be responsible for the compliance function of the organisation. 

Job responsibilities:

• Provide compliance advice with regard to the applicable rules and regulations of private wealth management from a Singapore perspective, or as it impacts the Singapore business.

• Develop and implement a compliance monitoring program in accordance with the regulator’s requirements and the company’s policies, maintain the compliance program manual, undertake compliance reviews, documentation drafting, provide compliance opinions and advice as requested;

• Provide compliance advice on internal compliance standards, policies and procedures such as in respect of suitability, cross-border matters etc;

• Liaise with the relevant regulators and ensure issues raised by the regulators are responded on a timely basis;

• Ensure all relevant regulations and laws relevant to the conduct of business have been identified, communicated and checked periodically. 

• Be fully conversant with local and relevant overseas regulations and regulatory development and respond to MAS and other regulatory enquiries when requested.

• Develop and maintain policies and procedures for new clients’ acceptance and existing client review.

• Liaise with colleagues on high risk or equivalent escalations;

• Reviewing and providing compliance approval for marketing materials for the business;

• Provide in house training in response to business and regulatory developments and maintain a record of all training sessions relating to compliance

• Provide compliance support on sales related complaints;

• Implement and instil a compliance culture and awareness within the organisation; and

• Lead/ assist in any ad hoc projects as necessary.

Skill Requirements/ Qualifications:

• Minimum 10 years of experience in compliance function of a financial institution, regulator and/or similar environment;

• An ability to communicate clearly and effectively on local regulatory matters and outsourcing issues to key stakeholders at all levels;

• Strong knowledge of private banking laws and regulations, directives and regulatory processes;

• Experience in wealth management compliance is preferred.

If you aspire to grow and excel with a high growth organisation, please forward us your CV with your most recent photo to Recruitment@tauruswealth.com.sg. We regret that only shortlisted candidates will be notified.