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- Regulatory Compliance Advice: Provide expert advice to our business and support functions on regulatory compliance matters, ensuring that we meet all relevant requirements.
- Compliance Culture: Develop and maintain a professional and high-level compliance culture by establishing and implementing company policies, procedures, and regulatory frameworks.
- Compliance Testing: Conduct ongoing compliance testing to ensure that our business operations are in line with regulatory requirements.
- Customer Complaints: Advise and assist our business in handling customer complaints and liaising with regulatory authorities.
- Internal and External Audits: Assist in internal and external audits, regulatory inspections, and provide secretarial support for Risk and Compliance Committees.
- Compliance Work Plan: Assist with the annual compliance work plan and conduct compliance testing, assessment, and reviews on our business and outsourced service providers.
- Regulatory Changes: Keep abreast of regulatory changes, maintain compliance registers, monitor key regulatory obligations, and manage new regulatory changes.
- Bachelor's Degree: A bachelor's degree in a relevant field.
- Experience: Minimum of 5 years of demonstrated working experience in compliance, preferably in a capital market services intermediary or a financial services regulatory authority.
- Regulatory Knowledge: In-depth understanding of the SFA, SFR, and relevant regulations.
- Skills: Strong attention to detail, analytical skills, and ability to prioritize tasks.
- Language: Proficient in English and Mandarin, with the ability to write and speak fluently to communicate with our stakeholders in China.
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Compliance Manager - Regulatory Expert - Singapore - Tiger Brokers (Singapore) Pte Ltd
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1 month ago
Description
About the Role
Tiger Brokers (Singapore) Pte Ltd is a leading fintech company that is revolutionizing the way people invest. We are seeking a highly skilled Compliance Manager to join our team and play a critical role in our continued success.