Head of Compliance

at  ICHX TECH PTE LTD

Bugis, Central, Singapore - 00000

Start DateExpiry DateSalaryPosted OnExperienceSkillsTelecommuteSponsor Visa
Immediate01 Jan, 2021Not Specified01 Oct, 20208 year(s) or aboveFraud,Ica,FinanceNoNo
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Description:

iSTOX is a future-ready capital markets platform set to usher in a new era for capital fundraising and investment. Through the use of digitized security offerings, iSTOX offers a more innovative, flexible, inclusive, and efficient system for an emerging generation of investors and issuers. As part of its mission, iSTOX seeks to enable provide capital markets access to a wider segment of the community. iSTOX is owned and operated by ICHX Tech Pte. Ltd. For more information, visit www.iSTOX.com
We are seeking a dynamic Head of Compliance who will collaborate closely with senior management and other functional heads of the business, as well as liaise with regulatory authorities and auditors. The successful candidate should have a balanced approach - flexible, innovative and adaptive in providing solutions to promote business growth, while ensuring all commercial actions are compliant.

JOB DESCRIPTION

  • Manage regulatory compliance with applicable rules and regulations in the capital markets industry.
  • Contribute to new product approval assessments by advising on regulatory compliance requirements. This includes solutions-oriented compliance advisory on new products (e.g. structured products) and new services/features on the iSTOX platform.
  • Coordinate, oversee and review iSTOX’s AML/CFT framework. Designated Anti-Money Laundering Reporting Officer.
  • Approve product marketing for compliance with advertisement requirements under the Securities and Futures Act. Review other marketing materials, press releases and other iSTOX publications.
  • Keep abreast of regulatory changes, new regulations and internal policy changes.
  • Maintain, in consultation with management, written policies and procedures, designed to ensure compliance with applicable laws or regulations.
  • Develop and maintain a compliance testing program to evaluate the adequacy and effectiveness of systems and internal controls as well as identify areas for improvement.
  • Provide adequate oversight on the Company’s controls to minimize compliance risks.
  • Enhancing compliance awareness through regular communication and training to applicable staff on code of conduct obligations.

REQUIREMENTS

  • Minimum degree in finance or finance-related subjects.
  • At least 8 to 10 years compliance experience with a CMS licensed broker in capital markets products or recognised market operator.
  • Broad range of knowledge including anti-corruption laws in the region, anti-money laundering, fraud, sanctions and competition laws, etc.
  • Knowledge of Securities and Futures Act and relevant compliance practices.
  • Ability to support and understand business needs whilst ensuring compliance with regulatory obligations.
  • Strategic level thinking together with hands-on approach.
  • Demonstrated experience in dealing with Singapore regulators.
  • Experience in designing and maintaining compliance framework and programs.
  • Excellent written, verbal and analytical skills.
  • Certified Professional in AML/CFT by International Compliance Association (ICA) and/or Certified Anti-Money Laundering Specialist (CAMS) is a plus.
  • Knowledge in risk management is a plus.
    Please apply for the role via this link: https://jobs.lever.co/istox/e951c37f-5f8c-426e-83b7-179bfc881e84
    Do note that only candidates who apply through the link above will be considered

Responsibilities:

Please refer the Job description for details


REQUIREMENT SUMMARY

Min:8.0Max:10.0 year(s)

Banking/Mortgage

Accounts / Finance / Tax / CS / Audit

BFSI

Graduate

Finance

Proficient

1

Bugis, Singapore