Compliance & Risk Manager

at  WEBULL SECURITIES SINGAPORE PTE LTD

Responsibilities:

• Provide regulatory compliance advice to business and support functions.
• Provide coverage and support across various compliance business as usual matters including name screening, enhanced customer due diligence, transaction monitoring, trade surveillance, personal account dealing reviews and marketing materials reviews.
• Assist with the annual compliance work plan, conduct compliance testing / assessment, and preparation of management information materials.
• Monitor new regulatory changes and update the policy / procedures to comply with the regulatory requirements.

• Manage the monthly risk framework.Assist with internal / external audits and regulatory inspections, and assist with any other ad-hoc duties, as assigned.

Requirements:

• Degree in any discipline, preferably in a business-related field.
• Diploma in Regulatory Compliance / Financial Crime Compliance / CAMS certification is preferred but not a must.
• 5-7 years of working experience, preferably from a compliance function in a retail brokerage firm or within the banking / financial services industry.
• Familiar with the SFA and the regulations thereunder.
• Self-starter who can work independently and effectively prioritize well in a fast-paced environment.
• Proficient in English and Mandarin to liaise and work with counterparts based in China.

• Provide regulatory compliance advice to business and support functions.
• Provide coverage and support across various compliance business as usual matters including name screening, enhanced customer due diligence, transaction monitoring, trade surveillance, personal account dealing reviews and marketing materials reviews.
• Assist with the annual compliance work plan, conduct compliance testing / assessment, and preparation of management information materials.
• Monitor new regulatory changes and update the policy / procedures to comply with the regulatory requirements.
• Manage the monthly risk framework.Assist with internal / external audits and regulatory inspections, and assist with any other ad-hoc duties, as assigned