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VP / SVP Central / Core Compliance - Retail Equities Compliance | Singapore, SG

VP / SVP Central / Core Compliance - Retail Equities Compliance | Singapore, SG

HARBRIDGE PARTNERSSingapore, Pedra Branca, Singapore
10 days ago
Job description

VP / SVP Central / Core Compliance - Retail Equities Compliance

VP / SVP Central / Core Compliance - Retail Equities Compliance

Our client is a Fintech securities and financial services firm who has strong presence in Asia Pacific and internationally based in Singapore

Job Title : VP / SVP Central / Core Compliance - Retail EquitiesCompliance

Responsibilities :

Reporting to the APAC Head of Compliance, the VP / SVP Central / Core Compliance - Retail EquitiesCompliance (Singapore) will oversee the Singapore compliance function and advise on all compliance and regulatory matters, including :

  • Acting as the primary liaison to regulatory bodies, including the MAS and exchanges.
  • Researching, interpreting, and advising the firm on compliance with laws and regulations applicable to brokers in Singapore.
  • Managing the implementation of strategies and frameworks to comply with MAS and exchange requirements for regulated activities.
  • Assisting in drafting written instructions for programmers and technology staff to facilitate necessary regulatory changes.
  • Drafting and implementing firm policies and supervisory procedures.
  • Managing all relevant regulatory inspections and audit reviews, including developing and implementing remedial action plans for any findings.

Required Qualifications and Skills

  • Retail client’s securities compliance experience ismuchpreferred
  • Self-starter with strong analytical skills.
  • Strong organizational skills with the ability to prioritize and work independently in a fast-paced environment.
  • Comfort with technology and understanding of its application to business and regulatory challenges.
  • Excellent oral and written communication skills.
  • Ability to develop compliance solutions that satisfy regulations while exercising sound business judgment.
  • Collaborative team player with experience in a small team environment.
  • Proven track record at a financial service’s regulatory agency, exchange, or licensed financial services firm.
  • Familiarity with Singapore regulatory requirements.
  • A “can-do” attitude with a willingness to learn.
  • Singapore Permanent Residence / Citizens will be given priority as per the Labor LawsofSingapore

    • Company Benefits & Perks

  • Competitive salary, annual performance-based bonus, and stock grant.
  • CPF contributions.
  • Excellent medical insurance, including dental, specialist, and inpatient care.
  • Competitive annual leave package.
  • Daily lunch ordered in-house with a fully stocked kitchen.
  • Modern offices with multi-monitor setups.
  • Unique opportunities to gain exposure to global financial products, markets, and clientele.
  • Opportunities for career progression and job scope expansion in a global company with a growing local presence.
  • Hybrid work arrangement available.

    • If this job isn't quite right for you, but you know someone who would be great for this role, why not take advantage of our referral scheme?

    We offer HKD1000 in Apple gift cards for every referred candidate who we place in a role. Terms & Conditions Apply.

    Please send an updated resume in English to our Managing Partner at ec(at)Harbridgepartners(dot)com

    Interested in this and other roles? Please send an updated resume in English to CV[@]harbridgepartners[dot]com

    Or contact +852 2523 9955 – and ask for Edward Chen, Richard Liu, Cora Pang

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    HARBRIDGE PARTNERS is a boutique, legal, banking, finance and technology executive search and human capital consultancy firm.We are an Asia-based, p...

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    Vp Compliance Compliance • Singapore, Pedra Branca, Singapore