Compliance Manager | Contract

Principal Responsibilities

• Conduct investigations in relation to market misconduct complaints and follow-up actions

• Perform market conduct compliance reviews, monitor and implement follow-up actions

• Liaise with the regulator and relevant government agencies

• Maintain and revise policies and procedures for the general operation of distribution compliance activities

• Cover duties of team leader and members in his/her absence

• Any other ad-hoc duties and projects assigned

Requirements

• Diploma in compliance or equivalent or degree in business, finance or equivalent

• Has relevant experiences in compliance, or investigation background from law enforcement agencies

• Knowledge in Financial Advisers Act (“FAA”) and relevant MAS notices and guidelines.

• Good analytical skills

• Meticulous

• Good communication skills(verbal & written).

Interested Candidates may send their resume and cover letter directly to [email protected] ,stating the position as the subject title in the email. Hibah Bakhtavar | EA License No. 02C3423 | Personnel Registration No. R21103109