Our ideal candidate will play a pivotal role in ensuring our company’s operations align with relevant laws, regulations, and industry best practices.
Roles and Responsibilities:
- Provide compliance advisory on the regulatory requirements in SFA and SFR to business units and participate in new initiatives/projects to understand business units’ concerns/needs,
- Provide accurate and practical guidance to address regulatory and industry requirements from a regulatory Compliance perspective;
- Provide oversight and support to the stakeholders on general compliance matters, including drafting of company’s policies and procedures in accordance with MAS regulations in the Capital Markets Products arena when required.
- Work with various stakeholders on regulatory compliance related matters, information requests and to answer the regulators’ queries promptly;
- Work with stakeholders to identify gaps, remediation actions and track action plans till closure in a timely manner;
- Provide oversight, advice in the regulatory compliance space in the Capital Market Service (CMS) license regime and mandatory training to stakeholders on key regulatory requirements such as FATCA/CRS, SFA04N02, and any new changes or updates to the regulations in the Capital Markets Products (“CMP”) regime especially regulatory changes pertaining to SFA and SFR.
- Takes accountability to consider the business and regulatory compliance risks involved and perform the appropriate steps to mitigate the risks.
- Maintains awareness of industrial trends on regulatory compliance in Capital Markets space, related emerging threats and technologies so as to understand the risk and safeguard the company better.
- Carry out ad-hoc tasks/projects as required by the immediate Supervisor..
- Bachelor Degree, preferably in Business, or Finance related fields;
- Minimum 2-4 years working experience in compliance/internal audit in the financial services industry;
- Sound knowledge of regulatory and industry requirements relating to financial industry such as MAS Notices/guidelines, Securities and Futures Act, Securities and Futures Regulations, and regulations from other jurisdictions, etc.
- Self-motivated and driven, able to work independently;
- Meticulous, good analytical and problem-solving skills;
- Good communication, report writing and interpersonal skills;
- Able to multi-task and work under pressure;
- High level of integrity, takes accountability of work and good attitude;
- Able to collaborate and work well with others;
- Takes initiative to improve current state of things and adaptable to embrace new changes.
If you are excited about the opportunity to ensure regulatory compliance within a thriving Fintech company, we would like to hear from you. Remuneration will be commensurate with experience and qualifications.
Please send your detailed resume to firstname.lastname@example.org
We regret that only shortlisted candidates will be notified.