Senior Compliance Officer
About the Senior Compliance Officer Role:
This is a great opportunity for the Senior Compliance Officer to deliver practical and commercial regulatory advice and be the main interface with local regulators. This will entail ensuring the delivery of high quality compliance services including monitoring, advisory, training, financial crime and client due diligence.
In an advisory capacity, you will be responsible to guide and support the businesses in their daily operations and in their development initiatives including product development, new offices, new products, customer transactions, and a range of cross-border and domestic issues.
You will also interact extensively with senior management and the front office as well as the full range of support / control functions within the firm including legal, human resources, finance, risk, audit, HR, operations and tax.
- To ensure that the business operates in compliance with relevant legislations / regulations, by giving advice on compliance implications of business decisions, both for on-going issues and in project decisions
- To develop and promote the reputation and standing of the compliance function
- To help develop a proactive, integrated compliance approach interacting with staff of all levels of seniority in the Asia Pacific region and Europe to promote the desired culture and behaviours
- To help develop a compliance risk assessment process covering the main activities relevant to managing compliance risk by developing and implementing a robust compliance monitoring / desk review programme
- To support country and regional management through the provisions of training and identification, evaluation and resolution of compliance risk as well as implementation of new policies
To succeed in this role, you will need to have at least five years' experience in legal or compliance within a financial services organisation.
- Able to build strong working relationships with senior members of staff throughout the region
- Knowledge of and experience in dealing with regulatory bodies
- Ability to achieve results and drive business initiatives
- Strong organisational and project management skills
- Confident with excellent negotiation skills
- Enthusiastic about being closely involved with the business and applying their existing knowledge to new and challenging situations
- Approachable, adaptable and commercial in approach
This global MNC within the brokerage industry is recognised as one of the leading players in the market.
If you are looking for a role that gives you the flexibility and room to draw up and roll out policies and procedures as well as enhance the compliance framework to make it more robust, this is the role for you.
Please apply now to discuss this opportunity in further detail.
Robert Walters (Singapore) Pte Ltd
ROC No.: 199706961E | EA Licence No.: 03C5451
EA Registration No.: R1545553 Wei Yolk Loke