AVP Legal and Compliance (Private Wealth/up to S$ 6K) (ID: 510042) AVP Legal and Compliance (Private Wealth/up to S$  …

PERSOL Singapore
in Singapore
Permanent, Full time
Last application, 27 Jan 21
S$ 72,000
PERSOL Singapore
in Singapore
Permanent, Full time
Last application, 27 Jan 21
S$ 72,000
Posted by:
Grace Chuah • Banking and Finance Recruiter
Posted by:
Grace Chuah
Banking and Finance Recruiter
Our client within Private Wealth is looking for Legal and Compliance talent.

Responsibilities

  •  Working closely with business unit management to provide counsel, advice and support to the business on compliance related areas
  • Provide advisory services on transactional issues, for existing and new business initiatives and products
  • Manage on-going regulatory matters
  •  Generate Compliance Rule, policies and procedures and related internal rules, or revise company existing Compliance Rule in line with Head Office policies and procedures.
  • To assist Head of Legal and Compliance to adhere and be in compliance with local regulation and Group directives.
  •  Key focus on managing periodic KYC for existing clients
  • Provide constructive advice and proposals to Business side and Management in order to improve effectiveness and efficiency of business on perspective of Compliance, and activate those practically.
  • Maintain continuous and regular communication with our Head office and other group offices and make sure to maintain unified understanding and opinion for all businesses on legal and compliance perspectives.
  • Support to make necessary documents of various agreements and contracts for all businesses.

Requirements

  • Bachelor's degree in any discipline
  • Relevant working experiences in regulatory compliance  within securities brokerage/ private bank/ wealth management 
  • Familiar with Securities & Futures Act, Financial Advisers Act and MAS Notices and Guidelines
  • Strong communication and interpersonal skills

For interested parties, please send resume to grace.chuah@persolsg.com
We regret that only shortlisted candidates will be notified
Capita Pte Ltd | EA Licence No 08C2893  | RCB No. 200701282M
Grace Chuah Chia Wen | EA Registration No : R1876066

 

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