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