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

Requirements

• 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