AVP, Regulatory Compliance

  • Sector: LMA Asia Legal & Compliance
  • Contact: Bryant Tan
  • Client: LMA
  • Location: Singapore
  • Salary: Negotiable
  • Expiry Date: 02 December 2022
  • Job Ref: BBBH403116_1667371280


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