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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