Key Roles and Responsibilities of the Head of Compliance, Financial Services and Brokerage role -
- In charge of oversight on all compliance matters across business operations with relevant legislation/regulations
- Provide advisory on compliance implications of business decisions, both for on-going issues and in project decisions Interpret and assess regulatory updates, and stay abreast of changes, advice and conducting training internally
- Liaise and coordinate with MAS on all reporting requirements and submission as well as addressing any queries
- Provide advice to business heads on new products and initiatives including all regulatory requirements
- Develop a proactive, integrated compliance approach and spearhead compliance culture within the enterprise Support management through the provisions and implementation of new policies
- Provide assistance in legal matters and liaise with external legal counsel Undertake additional functions and duties when required
Key Roles and Responsibilities of the Head of Compliance, Financial Services and Brokerage role -
- Graduate with a degree from reputable universities
- A minimum of 8 years compliance experience within Compliance in a Brokerage house
- Self-motivated, meticulous and able to multitask
- Excellent communication and interpersonal skills Professional qualifications in Compliance will be an added advantage