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Regulatory Compliance, Markets Compliance
MAS, SGX exposure
About Our Client
Our client is an emerging regional financial institution focused on markets products such as fixed income, derivatives, currencies and commodities. They are currently rapidly expanding in Singapore and are looking for individuals to join their compliance function with strong MAS and SGX related experience.
To lead the Regulatory Compliance Team, with strong markets compliance and exchange experience. To lead regulatory implementation in the following:
1. Maintain a comprehensive Compliance Matrix to ensure compliance with all licensing & regulatory requirements
2. Provide advisory and interpretation of various MAS regulations (BA, SFA, FAA, other than AML); on applicable rules and regulations related to new products and business operations/functions, .
3. Be the main liaising party with MAS and maintain an effective communication channel
4. Monitor & disseminate regulatory updates and provide advisory to the affected departments.
5. Monitor and coordinate regulatory submission
6. Implement the Compliance Policy and Procedures; assist to review organisational policies and procedures for adherence to regulatory requirements
7. Contribute towards the management of customer complaints channeled through MAS/ABS/FIDREC and serious types of complaints
8. Maintain and implement other compliance-related policies (eg. Outsourcing, CTMS, Volcker Rule, etc)
9. Any other compliance projects as and when assigned by HOD
The Successful Applicant
The candidate must have a strong regulatory compliance background, be self motivated and adaptable to a growing market and evolving compliance environment and requirements. A background in dealing with the MAS and SGX would be advantageous. Specialising in markets compliance would also be a plus.
What's on Offer
The job offers the relevant candidate, strong career progression and exposure to a unique compliance environment in a rapidly evolving markets environment. The incumbent will be an key contributor to a highly specialized and skilled compliance team.