Vice President - Singapore - HAITONG INTERNATIONAL SECURITIES (SINGAPORE) PTE. LTD.
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Description
Job Description:
- Setting the policies and procedures for adherence to legal and regulatory requirements in the jurisdiction(s) where the corporation operates;
- Monitoring the corporation's compliance with the established policies and procedures;
- Monitoring individual staff of the department related to complying with regulatory aspect and adhere to company policies and procedures;
- Reporting on compliance matters to senior management
- Provide compliance related advice to ensure the internal team members and senior management related to the business;
- Handling reply on queries from regulators;
- Working with Group Compliance in strengthening internal controls within PWM and ensuring the high quality of our overall execution work;
- Keeping team members abreast of any updates on Practice Notes, Guidance Notes, Guidelines and any other rules and regulations relevant to the business;
- Maintaining harmonious working relationship internally (all level of team members) and externally (regulators).
Requirements:
- University Degree in business related discipline;
- Over 10 years' relevant experience preferably in regulatory authority or private wealth management sector;
- Team player with good time management and organization skills;
- Excellent communication and interpersonal skills.
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