Vice President (Compliance) Vice President (Compliance) …

PERSOL Singapore
in Singapore, Singapore, Singapore
Permanent, Full time
Last application, 26 May 20
130,000
PERSOL Singapore
in Singapore, Singapore, Singapore
Permanent, Full time
Last application, 26 May 20
130,000
Generate Compliance Rule, policies and procedures and related internal rules, or revise company existing Compliance Rule in line with Head Office policies and procedures. Assist in formulating policies procedure manuals (PPMs) required for External Asset Management business and updating of PPMs for other business areas of the Company - Equities, Fixed Income and Mergers & Acquisitions.
  • Working closely with business unit personnel and the respective policy owners, to provide counsel, advice and support to all of the Company’s businesses and support functions on compliance related areas,
  • 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.
  •  Liaison between front office and compliance functions
  • To assist Head of Legal & Compliance to adhere and be in compliance with local regulation and Group directives.
  • Cooperate with Business side and advise them in order to create a new business platform for External Asset Management Business.
  • Monitor daily activities of External Asset Management team and other front office sales and give them adequate advice and warning when necessary.
  • Provide constructive advice and proposals to Business side and Management in order to improve effectiveness and efficiency of business on perspective of Compliance, and activate those practically.
  • Maintain continuous and regular communication with our Head office and make sure to maintain unified understanding and opinion for all businesses on legal and compliance perspectives.
  • Support to make necessary documents of various agreements and contracts for all businesses.
  • Assist in formulating policies procedure manuals (PPMs) required for External Asset Management business and updating of PPMs for other business areas of the Company - Equities, Fixed Income and Mergers & Acquisitions.

Requirements: 

  • Currently employed in the Compliance Division of a reputable Private Bank in Singapore would be advantagous 
  •  Around 5-10 years Regulatory compliance experience in the Private Banking, External Asset Management, Equities, Fixed Income & M&A businesses
  •  Familiarity with Securities & Futures Act and Financial Advisers Act, Securities and Futures Regulations, Financial Advisers Regulations, other relevant legislation and MAS Notices and Circulars

Please apply or send in your resume to Eden.koh@persolsg.com

We apologise that only shortlisted candidates will be contacted.

EA License No. 08C2893 • RCB No. 200701282M • EA Registration No. R2092024 (Koh Eden)

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