Head of Compliance(Singapore) recruitment
JOB TITLE: Head of Compliance(Singapore)
DEPARTMENT: Compliance
LOCATION: Singapore
Summary
Reporting to Regional Head of Compliance and FCP, you will need good investigative skills and ability to analyse and assess issues quickly and the ability to conduct critical analysis of issues.
Responsibilities
- Helping to promote a compliance culture within the Firm.
- Overseeing the Compliance and Financial Crime Prevention (FCP/AML) activities of the Firm. Also, 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). This is accomplished by, among other things:
- 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 pro-active program to help detect violations of the Compliance and FCP mandates. Assisting in the development or purchase, implementation, and effective usage of software to help facilitate the foregoing.
- 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.
- Working cooperatively with all other departments within the Firm and the region to help develop and maintain a compliance culture, including, but not limited to, responding to other departments’ requests for assistance or information, as appropriate.
- Advising on new products to ensure compliance with Compliance and FCP mandates and the Rules and Regulations established by regulators.
Requirements
- Seasoned compliance professional with at least 6 years of industry experience
- Sounded knowledge and understanding of brokerage – exchange-traded futures and options, equities, and FX
- 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/ dealing in securities, and/or a SGX Derivatives Member is preferred
- University Degree in Legal or other professional qualifications is a desire
- Possess strong report writing skills, in addition to verbal skills
May 31, 2012
• Tags: Head of Compliance(Singapore) recruitment, Investment Banking, M & A careers in the Singapore • Posted in: Financial