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Compliance Specialist / Manager
$ 1 - $ 1 / month
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Job Description
Principal Responsibilities
- Conduct investigations in relation to market misconduct complaints and follow-up actions
- Perform market conduct compliance reviews, monitor and implement follow-up actions
- Liaise with the Regulator and relevant Government Agencies
- Maintain and revise policies and procedures for the general operation of distribution compliance activities
- Cover duties of team leader and members in his/her absence
- Any other ad-hoc duties and projects assigned
Requirements
- Diploma in Compliance or equivalent or Degree in Business, Finance or equivalent
- Has relevant experiences in compliance, or investigation background from law enforcement agencies
- Knowledge in Financial Advisers Act (FAA) and relevant MAS Notices and Guidelines.
- Strong Analytical Skills
- Meticulous
- Strong Communication and Writing Skills
Job Description
Principal Responsibilities
- Conduct investigations in relation to market misconduct complaints and follow-up actions
- Perform market conduct compliance reviews, monitor and implement follow-up actions
- Liaise with the Regulator and relevant Government Agencies
- Maintain and revise policies and procedures for the general operation of distribution compliance activities
- Cover duties of team leader and members in his/her absence
- Any other ad-hoc duties and projects assigned
Requirements
- Diploma in Compliance or equivalent or Degree in Business, Finance or equivalent
- Has relevant experiences in compliance, or investigation background from law enforcement agencies
- Knowledge in Financial Advisers Act (FAA) and relevant MAS Notices and Guidelines.
- Strong Analytical Skills
- Meticulous
- Strong Communication and Writing Skills