Senior Officer / Assistant Manager / Manager, Compliance

  • Competitive
  • Singapore Singapore Singapore SG
  • Permanent, Full time
  • Haitong International Securities (Singapore) Pte. Ltd.
  • 24 Apr 18 2018-04-24

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, 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.

The Job:

  • Provide comprehensive regulatory advisory to business units and operating units and provide updates to relevant departments on regulatory developments
  • Prepare and revise relevant compliance procedures periodically to keep it up to date with regulatory and Group requirements
  • Conduct annual compliance risk assessment, prepare annual compliance work plan and perform compliance reviews
  • Liaise with regulators (MAS, Enterprise Singapore and relevant stock exchanges) and internal and external auditors on any inspection, queries, audit or new licence application
  • Conduct or arrange for compliance and regulatory training for staff to inculcate a culture of compliance within the Singapore office
  • Act as the compliance control room for the Singapore office (e.g. maintain restricted lists and providing clearance for wall-crossing request)
  • Miscellaneous reporting matters (e.g. monthly HQ reporting; filing Suspicious Transaction Reports)
  • Participate in special projects (such as application for new licences) on an ad hoc basis
  • Other compliance and control room work that may be assigned from time to time by Head of Legal & Compliance or by HQ Compliance

Requirements:

  • Bachelor degree or above
  • At least 3 years of relevant compliance experience
  • Good understanding of the SFA/FAA, SFR/FAR, MAS Notices and Guidelines
  • ICA qualifications will be viewed upon favorably, but not essential
  • Candidates with experience working with banks, brokerages, stock exchanges, regulators or fund management companies are welcome to apply
  • Good communication, interpersonal and influencing skills
  • Excellent command of written and spoken English and Chinese, including Putonghua (in order to liaise with Chinese & Putonghua speaking associates) and preferably one other local dialect