Compliance Vice President
Salary Market Aligned
Consultant Gavin Izon (R1659143)
Date posted 13 August 20192019-08-13 2019-10-12 financial-services Singapore SG SGD 120000 160000 160000 YEAR Robert Walters https://www.robertwalters.com.sg https://www.robertwalters.com.sg/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
A new Compliance Vice President job has become available at the wealth management business of an international securities firm. The role is with a highly regarded market leader who has a strong presence in Asia looking to strengthen their compliance department and represents an excellent career move for the right candidate.
About the Compliance Vice President Role:
In this role, you will be supporting the businesses and back office functions on a wide range of compliance matters. You will be expected to work closely with legal in the interpretation of laws and regulations and the putting in place of internal policies and controls to address or mitigate any legal or compliance risks that the company may face in its businesses and operations.
- Provide regulatory compliance and AML/CFT advice to the wealth management business
- Support the Head of Compliance in managing the company’s compliance with the applicable laws and regulations as well as internal policies and procedures
- Provide timely and quality advisory support on AML and sanctions related matters to wealth management business and other departments
- Review Para 9 / 11 Fly-in Forms to ensure compliance with regulatory requirements
- Review new products/services, new business initiatives and licensing requirements
- Provide responsive, sound, coherent and consistent compliance advice, interpretation and recommendations on regulations, policies, products and business initiatives; clarify and resolve uncertainties in rules and regulations affecting business transactions and practices
- Establish, review and update internal rules, policies and guidelines to meet best practice regulatory and industry standards
- Liaise and resolve with regulators on any regulatory concerns, and co-ordinate regulatory inspections
- Degree or professional qualification in accounting, business, law or related field
- Minimum of five years’ experience in compliance/audit in private banking/wealth management
- Well-versed in the regulatory expectations in the sale and recommendation of financial products such as shares, bonds, funds and structured products to accredited investors
- Knowledge of Securities and Futures Act, Financial Advisers Act, SGX requirements, banking and financial services laws and regulations, securities and futures practices, compliance best practices and understanding of financial products and systems
- Good communication skills with the ability to clearly and diplomatically articulate issues, solutions and rationales.
- High degree of judgement and good problem-solving skills; results-oriented to ensure sound implementation of control and compliance processes/procedures
If you have the above skills and experience and are ready to take the next step in your career, this could be the opportunity that you are looking for.
Apply today or drop me an email to learn more and start a conversation.
Robert Walters (Singapore) Pte Ltd
ROC No.: 199706961E | EA Licence No.: 03C5451
EA Registration No.: R1659143 Gavin Izon