Haitong Int'l Securities Group (Singapore) Pte Ltd
Singapore, SINGAPORE
(on-site)
Posted
2 days ago
Job Function
Legal Support
Description
Job Responsibilities- Manage the MAS and SGX licensing and registration process for new front office staff.
- Manage compliance registers (e.g. outsourcing, licensed representatives, FRCs etc) for Singapore office.
- Liaison to manage timely reporting to regulators, head office and local management.
- Monitor the company's compliance with the existing policies and procedures.
- Provide timely advisory to business units in Singapore as well as overseas queries from head office.
- Review and monitor client onboarding and periodic reviews to ensure proper Customer Due Diligence (CDD), Enhanced Due Diligence (EDD) for high-risk clients, including source of wealth and funds verification.
- Review client data related to FATCA and CRS for reporting purposes.
- Respond to queries from business units, head office and local management relating to licensing requirements.
- Review and update policies and procedures in accordance to new regulations.
- Provide support to ad hoc compliance matters whenever necessary.
Qualifications and skills required:
- Bachelor Degree in relevant field in Accountancy or Business Law.
- At least 8 years of relevant compliance experience in a financial institution, investment bank, brokerage, securities exchange with experience in the markets and/or regulatory advisory compliance space.
- Strong knowledge and experience in Securities and Futures Act, relevant SGX rules and regulatory requirements.
- Attentive to details, compliance and control oriented and proactive
- Good communication skills in both Chinese (including Putonghua) and English.
Job ID: 81550004
