Assistant Manager, Compliance Assistant Manager, Compliance …

Haitong International Securities (Singapore) Pte. Ltd.
in Singapore
Contract, Full time
Last application, 17 Oct 21
Haitong International Securities (Singapore) Pte. Ltd.
in Singapore
Contract, Full time
Last application, 17 Oct 21
Posted by:
Elyse Kwan • Recruiter
Posted by:
Elyse Kwan
Haitong International Securities Group (Singapore) Pte Ltd is looking for a dynamic and all rounded individual to provide compliance support for its growing business lines of securities financing, asset management, private wealth management, custodian services, leveraged foreign exchange and futures trading, FICC, institutional equity, high net worth and corporate finance. The successful candidate will be part of a dedicated and professional compliance team. As Haitong International is rapidly developing its presence in Singapore, this role offers the successful candidate tremendous opportunity for growth, advancement and learning.

Job Description:

  • Conduct annual compliance risk assessment and enterprise-wide risk assessment, prepare annual compliance work plan and perform compliance reviews and monitoring in accordance with established compliance procedures
  • Keep abreast of regulatory developments and provide regulatory advisory to business and support units
  • Prepare and submit regular reports to Compliance - HQ and perform other tasks as may be assigned by Compliance - HQ
  • Maintain compliance registers (outsourcing, gifts, complaints, licensed representatives, FRCs, regulatory breaches and audit tracker) for Singapore Office
  • Initiating timely review on policies and procedures to keep it up to date with regulatory and Group internal control requirements
  • Maintain Restricted Lists for Singapore Office for submission to Group Control Room
  • Executing and monitor the Compliance Program (e.g. AML assessment, compliance risk assessment, annual compliance work plan and periodic compliance reviews)
  • Liaising with regulators (MAS, Enterprise Singapore and relevant stock exchanges) and internal and external auditors on any inspection, queries, audit or new license application
  • Arranging compliance and regulatory training for staff to inculcate a culture of compliance within the Singapore office
  • Acting as the compliance control room for the Singapore office (e.g. maintain restricted lists and providing clearance for wall-crossing request)
  • Preparing regular reporting matters (e.g. monthly reporting to Group Compliance; filing Suspicious Transaction Reports)
  • Participating in special projects (such as application for new licenses/ memberships/ business) on an ad hoc basis
  • Other compliance work that may be assigned from time to time by Head of Compliance and Group Compliance



  • At least 6 years of relevant compliance experience
  • High Diploma or above
  • Solid understanding of the custodian service
  • Solid understanding of the SFA/FAA, SFR/FAR, MAS Notices and Guidelines
  • Candidates with experience working with banks, brokerages, stock exchanges, regulators or fund management companies are welcome to apply
  • Good communication, interpersonal and influencing skills
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