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Compliance & Legal – Compliance – VP, Singapore

1.3571 103.82
Singapore
Posted: yesterday
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Description

Job Responsibilities

Provide regulatory and firm compliance policy advice/guidance to equity capital markets, as well as debt capital markets and syndicate teams, and management on issues related to underwriting and private placements, marketing and selling securities offerings, as well as information barriers and other internal controls and issues.
Provide AML guidance to the management and business teams, build AML and transaction monitoring system for the company.
Liaise and communicate with the regulator on matters such as license application, inquiries and inspection.
Oversee and coordinate with business, control room and legal regarding the firm’s information barrier policy and manage conflict of interest.
Provide guidance to business management with respect to supervision structure, process and responsibilities and ensure adherence to guidelines and checklists, ensuring procedures and controls set out in the IBD operating procedures manual are followed.
Monitor and review announcements, circulars and offer documents to be disclosed.
Liaise with external lawyers, financial advisers and regulators with respect to various regulatory and compliance issues.
Update and implement policies, procedures and controls to meet regulatory requirements of MAS, SGX‑DT, SGX‑DC.
Conduct compliance assurance reviews and testing on business units’ processes and controls to assess level of compliance with applicable regulatory/industry requirements, identify gaps, provide recommendations, elevate issues/risks promptly and work with business units to implement timely remedial actions.
Provide compliance trainings as requested by management, regulator or the business teams.
Coordinate compliance issue management, escalation and reporting.

Qualifications

Degree in Law / Accounting / Business / Economics / Finance or other comparable qualifications.
Minimum 6 years of work experience in Singapore compliance areas with a reputable Singapore financial institution or regulator.
Familiar with relevant laws, rules and regulations such as SGX‑ST/DC/DT Rules, SFA, FAA, MAS Regulations, Companies Act, Code of Corporate Governance, etc.
Experience in dealing with audits and/or regulatory examinations.
Sound understanding of good compliance and risk management practices.
Experience of reviewing legal documents will be preferred.
Experience of managing a small legal and compliance team is a plus.
Good organizational and project management skill.
A fast learner with agile mindset, collaborative and trustworthy team player with great working attitude.
Mandarin‑speaking candidates preferred.

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Highlights

Company name

Huatai Securities (Singapore) Pte. Limited
Job position

Compliance & Legal – Compliance – VP

Ad ID:

8816701380
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