Head of Compliance – Capital Markets Firm Jobs in Singapore

    Head of Compliance – Capital Markets Firm

    Permanent Christina Tay Email Job
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    Details

    • Category Financial Services
    • Industry Wholesale Banking and Global MarketsFinancial ServicesPrivate Banking & Wealth
    • Function Legal & Compliance
    • Consultant Christina Tay
    • License No 16S8060
    • Registration No R1658357
    • Job Ref No CR23001
    • Salary S$100,000 - S$150,000

    Description

    We are partnering an Established Financial Institution to recruit for a Head of Compliance, a rare opening within the organization. This is a well-established firm with Global Markets, Investment Banking & Wealth Management businesses and an international presence. This is an excellent opportunity for a senior compliance professional looking to join a stable and balanced workplace.

    Responsibilities

    Reporting to Head of Legal & Compliance, you will lead the Compliance function and manage a small team responsible for all AML & Compliance matters for the Singapore entity. You will develop and implement an effective compliance program and ensure the businesses adhere to regulations and compliance risks are identified and mitigated. You will maintain good relationships with Monetary Authority of Singapore (MAS) and other regulatory authorities and manage any regulatory enquiries, reporting, inspection and investigation. You will conduct AML risk assessment, approve onboarding of high-risk accounts, prepare STR filling etc. Other responsibilities include but not limited to trade and communication surveillance, investigating and reporting non-compliance findings, conducting compliance training, participating in compliance and outsourcing committee etc. You will play a key role in advocating a strong compliance culture across the organization.

    Requirements

    You are degree qualified with at least 15 years of Compliance related experience in Capital Markets, Investment Banking or Private Banking. You must be well versed with MAS regulations and guidelines i.e. Securities and Futures Act (SFA) or Financial Advisers Act (FAA), Banking Act and have a proven track record in managing compliance risk. You are strategic, hands-on, highly collaborative, an effective communicator and possess good leadership skills.

    To Apply

    To apply, please submit your resume to Christina Tay at cr@kerryconsulting.com, quoting the job title and reference number CR23001. We regret that only shortlisted candidates will be notified.