AVP - Regulatory Compliance - Securities AVP - Regulatory Compliance - Securities …

Cornerstone Global Partners
in Singapore
Permanent, Full time
Last application, 19 Apr 21
Negotiable
Cornerstone Global Partners
in Singapore
Permanent, Full time
Last application, 19 Apr 21
Negotiable
My client is an international securities firm, due to expansion they are looking for an experienced regulatory compliance professional to join their team

You will be required to work closely with management to provide counsel, advice and support to the business on compliance related areas

You will also be required to: 

  • Provide advisory services on transactional issues, for existing and new business initiatives and products
  • Manage on-going regulatory matters
  • Generate Compliance Rule, policies and procedures and related internal rules, or revise company existing Compliance Rule in line with Head Office policies and procedures.
  • Manage periodic KYC for existing clients
  • Maintain continuous and regular communication with HQ 
  • Support to make necessary documents of various agreements and contracts for all businesses.

To qualify for this role, you must possess

  • 5 years compliance experience
  • Prior experience in securities compliance
  • Ideally candidates with brokerage experience
  • Strong experience in Securities and Futures Act (SFA) and Financial Advisors Act (FAA)

 

To apply for this role, do email your latest cv to paul.zhong@cornerstoneglobalpartners.com 

 

Registration No: R1110469

EA License No: 19C9859

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