AVP Compliance, Regulatory

Job Scope

  • Responsible for maintaining compliance manuals and policies. This includes conducting gap analysis to identify gaps and implementing relevant controls
  • Interpret, update and train on regulatory changes applicable to the business
  • Prepare compliance reports for submission to regulatory bodies and top management
  • Provide sound counsel and advice to the business on internal compliance matters, trading issues, customer enquiries
  • Participate in monitoring and investigations relating to employee/customer misconduct
  • Lead the team on any system change where required

Requirements

  • Between 6-10 years' experience in Compliance with a licensed financial institution
  • Must have experience dealing with regulators or have worked with a regulator
  • Excellent communciation and business partnering skills
  • Strong personality to work with stakeholders or different levels and culture

To comply with local laws, our Singapore office EA Licence No is: 17S8475.

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.