Group Compliance – Group Compliance Executive / Senior Executive

Responsibilities:

We are looking for compliance personnel to assist in enhancing the compliance risk framework of the company.  The candidate will assist in managing and executing the compliance programs, provide regulatory advisory/guidance and carry out compliance training for the company’s diversified investment business groups.  Depending on the candidate’s experience, duties will include the following:

  • Conduct compliance reviews and monitoring/surveillance across the company’s business activities;
  • Develop risk-based compliance programs to facilitate the execution of compliance reviews and monitoring;
  • Advise the business units in meeting regulatory requirements through implementing appropriate compliance risk policies, assisting with the design and implementation of risk and compliance management initiatives, and enhancing and improving internal processes and procedures;
  • Review the completed risk and compliance assessment returns from each area of the business, identifying trends and areas of concern and working with the business units to reduce any unacceptable exposures to regulatory risk;
  • Provide compliance training and support through issuing of internal compliance updates and training modules

Requirements:

  • A minimum of 1 - 3  years of experience in compliance, audit or risk management
  • Experience in the Futures, Financial Advisory or Fund Management industry will be preferred
  • Knowledge of key applicable regulations such as the Securities & Futures Act, Financial Advisers Act, MAS Notices and Guidelines, AML/CFT regulations
  • Good writing and communication skills
  • Good interpersonal, influencing and networking skills
  • Team player
  • Candidates with more experience may be considered for a senior role

If you can take up the challenge, looking for an environment of growth and opportunities; please direct a full resume, stating the position applied, present and expected salaries to the HR department at recruitment@phillip.com.sg

We regret that only shortlisted candidates will be notified.

Brought to you by Phillip Securities Pte Ltd (A member of PhillipCapital)