Compliance and Legal Executive (Commodities Trading) - D01 Cecil, Marina, People’s Park, Raffles Place, SG

Roles & Responsibilities

Responsibilities and Duties :

• Manage and enhance existing compliance program that is effective in dealing with compliance risks.
• Manage and monitor key compliance activities and report on a regular basis as to their status and actions taken to mitigate such risks.
• Maintain manual on compliance processes and procedures and ensuring this is kept updated.
• Advise on business activities that are in or out of scope, per current / future regulatory status as well as evaluate key outputs from regulators, industry bodies and advising Management and respective business / support units of the impact.
• Conduct internal investigation where needed, in relation to any compliance issue and produce investigation report.
• Carry out monthly, quarterly or ah-hoc compliance reporting, internally and externally.
• Any other duties as assigned.

Requirements :

Interested candidates who wish to apply for the advertised position, please click on “Apply Now”. We regret that only shortlisted candidates will be notified.

EA License No : 01C4394 (PERSOL SINGAPORE Pte Ltd)

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internal control requirements

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