Compliance & Legal – Compliance – Vp

Huatai International Financial Holdings Company Limited

Singapore
Singapore financial institution experience
Mas sgx regulatory knowledge
Aml transaction monitoring systems
The role involves providing regulatory and firm compliance policy advice to equity and debt capital markets teams

Job Summary

  • The role involves providing regulatory and firm compliance policy advice to equity and debt capital markets teams.
  • Candidates will liaise with regulators on license applications, inquiries, and inspections while overseeing information barrier policies.
  • The position requires monitoring offer documents and conducting compliance assurance reviews to ensure adherence to MAS and SGX regulations.

Matching Summary

The role involves providing regulatory and firm compliance policy advice to equity and debt capital markets teams.

Skills & Requirements

Must-have

  • Singapore financial institution experience
  • MAS SGX regulatory knowledge
  • AML transaction monitoring systems
  • Information barrier policy management
  • Underwriting and private placement compliance

Nice-to-have

  • Mandarin speaking capability
  • Small team management experience
  • Agile mindset and collaborative attitude
  • Experience reviewing legal documents
  • Project management skills

Key Requirements

  • Minimum 6 years Singapore compliance experience
  • Degree in Law Accounting Business Economics or Finance
  • Familiarity with SFA FAA Companies Act regulations
  • Experience with audits and regulatory examinations

Work Rights

Not specified

Tailored Resume

Cover Letter