- Conduct compliance reviews and monitoring/surveillance across the company's business activities;
- Develop risk-based compliance programs to facilitate the execution of compliance reviews and monitoring;
- Advise the business units in meeting regulatory requirements through implementing appropriate compliance risk policies, assisting with the design and implementation of risk and compliance management initiatives, and enhancing and improving internal processes and procedures;
- Review the completed risk and compliance assessment returns from each area of the business, identifying trends and areas of concern and working with the business units to reduce any unacceptable exposures to regulatory risk;
- Provide compliance training and support through issuing of internal compliance updates, training modules and compliance guidelines
- Minimum 3-5 years' relevant experience in compliance, audit or risk management preferably in the securities, financial advisory or fund management industry
- Should have knowledge of key applicable regulations such as the Securities & Futures Act, Financial Advisers Act, MAS Notices and Guidelines, AML/CFT regulations
- Excellent writing and communication skills
- Good interpersonal, influencing and networking skills
- Team player
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Compliance Manager - Singapur, Singapore - Phillip Securities
Description
Compliance Manager
Responsibilities:
We are looking for compliance personnel to assist in enhancing the compliance risk framework of the company. The candidate will help to manage and execute the compliance programs, provide policy guidance and to carry out compliance training for the company's diversified investment business groups. Depending on the candidate's experience, duties will include the following:
Requirements:
