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AVP, Regulatory Compliance

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AVP, Regulatory Compliance

  • Location:


  • Sector:

    LMA Asia Legal & Compliance

  • Job type:


  • Salary:


  • Contact:

    Bryant Tan

  • Job ref:


  • Published:

    about 1 year ago

  • Expiry date:


  • Client:


AVP, Regulatory Compliance

Key Duties
Regulatory Compliance:

  • Support development and strengthening of frameworks to promote a robust compliance culture
  • Support development and implementation of appropriate compliance policies and procedures and other governance related matters;
  • Assist in addressing non-compliance or regulatory breaches by supporting internal investigations as appropriate
  • Assist in maintaining constructive and effective relationships with company regulators

Member Supervision:

  • To support membership on-boarding and member's trading on-boarding
  • Support regular desk-top reviews of member submissions and interactions with members
  • Prepare and support on-site inspection programmes
  • Other related tasks as assigned from time to time


  • University degree in Finance, Accountancy or Business from reputable institutions
  • Some working experience advantageous but not required as on the job training will be provided
  • Motivated and able to produce quality work under pressure
  • Good communication and interpersonal skills, positive team player
  • Preferably possessing good IT literacy

Company Reg No.: 201131609D, Licence No.: 11C4684, Reg No: R1660533

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