Manager / Associate Director, Compliance
- Permanent, Full time
- 12 Feb 18 2018-02-12
Our client is one of the largest brokerage and financial services groups in Japan who is seeking to hire a Manager / Associate Director (Compliance) to join their growing business.
- Perform trade surveillance on fixed income transactions.
- Provide advisory for a range of businesses with focus on Fixed Income Business and Private Banking / Wealth Management
- Provide advisory on Anti-Money Laundering regulations and Customer Due Diligence requirements
- Perform compliance review to ensure adherence to rules and regulations (such as trade surveillance, documentation etc) and follow-up to ensure the proper closure of identified compliance gaps
- Perform reviews on Information Security (eg. review staff’s e-communication) and attend to staff’s queries on information security matters and approving staff’s requests to access to blocked websites
- Conduct training for staff on compliance related topics
- Maintain the company’s Register on Outsourcing and attend to Outsourcing related matters/queries
- Attend to staff’s staff trade requests / matters relating to personal account dealing matters.
- Liaise with internal and external auditors on audit reviews and queries, where necessary
- Perform special review / tasks as assigned.
- Review amendments to policies and procedures when necessary to ensure consistency
- Degree from recognized university or relevant professional qualifications
- 5 years of relevant experience in audit firms / financial institution in audit or compliance etc. Experience in fixed income and/or private banking business and familiar with Anti-Money Laundering regulations would be an added advantage
- Possess good knowledge of Banking Act, Banking Regulations, MAS Notices and Guidelines, Financial Advisers Act, Securities and Futures Act and SGX-ST Rules
- Able to perform trade surveillance using SMARTS would be an added advantage
- Proficient in Japanese language (written and spoken) preferred.
- Independent and a team player with good interpersonal and writing skills
For interested parties, please kindly send us your profile with current and expected package by clicking on the APPLY button