Serving You Since 1975

Licensing Executive

Responsibilities

  • Review, process and track applications for all regulated activities appointments, for submissions through MASnet/ SGX Stargate.
  • Ensure proper filing of all application and supporting documents for proper tracking of documents during the application process.
  • Review applications for transfer, conversion and cessation of Representatives (Reps) for onward submissions.
  • Review Reps’ qualifications for exemptions, update regulated activities, input assigned codes and giro information into internal systems.
  • Update and maintain Reps listing and provide to Compliance and screening agencies.
  • Carry out yearly Fit & Proper exercise for all appointed Reps.
  • Review policies, procedures and processes in consultation with relevant stakeholders and update department’s Operation & Compliance Manual (OCM).
  • Perform UAT and facilitate in relevant system improvements, generate statistics for management reporting and audit checks.
  • Keep abreast and update relevant parties and stakeholders on changes of relevant rules and regulations.

Skills/ Qualities 

  • Able to work as a team player
  • Meticulous and have an eye for detail
  • Highly compliant yet flexible in solving problems
  • Persistent to see task/project to completion

Qualifications 

  • Minimum diploma or degree holder, preferably in Business, Finance or related field.
  • Good written and communication skills
  • Entry level candidates are welcome to apply.
  • Knowledge of SFA/FAA regulations, or experiences in back office/ middle office of Financial Institutions would be advantageous

If you are looking for an environment of growth and opportunities, please write in with a detailed resume stating the position applied and expected salaries to the HR department via 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)