23 days ago
My client is a top-tier Chinese securities firm. They are expanding their futures business in Singapore and looking for an experienced compliance expert to assist in licensing and setting up compliance policies.
My client offers a very attractive package and opportunities to explore compliance issues in futures industry. Candidates are required to have minimum 10 years of compliance experience in futures/ securities firms/ regulatory institutions, with 5 years of management experience.
- Manage compliance risk strategies, policies and frameworks
- Monitor and assess compliance with laws, regulations and policies
- Oversee compliance reviews and investigations
- Implementation of compliance controls and risk management activities
- Internal compliance advisory to business teams and Management team
- Reporting to the Management team on all compliance & regulatory matters
- Carry out awareness briefing and staff training on regulatory requirements, company policies and procedures
- Liaison with regulators, auditors and law enforcement.
- More than 10 years of related experience in finance industry, including more than 5 years of management experience，preferably in futures and securities industry
- Bachelor degree or above in business, accounting, finance, law or other related discipline
- Preference will be given if you have some experience with related activities under the Securities and Futures Act/Financial Advisers Act
- Passion about high-quality work and continuous improvement in business procedures
- Citizens or permanent residents of Singapore.
For interested parties, please contact Winifred at +852 2777 6277 or firstname.lastname@example.org for further discussions.