Assistant Vice President, Compliance and Legal Assistant Vice President, Compliance and Legal …

KGI Securities (Singapore) Pte. Ltd.
in Singapur
Festanstellung, Vollzeit
Letzte Bewerbung, 27 Okt 20
Competitive
KGI Securities (Singapore) Pte. Ltd.
in Singapur
Festanstellung, Vollzeit
Letzte Bewerbung, 27 Okt 20
Competitive
Gepostet von:
Kai Xuan Melissa Tan • Recruiter
Gepostet von:
Kai Xuan Melissa Tan
Recruiter
As a leading and pioneering name in the financial futures industry, expansion plans are in the pipeline. If you are dynamic and enjoy working in a fast-paced environment, come join us!

Responsibilities

Compliance matters

  • Develop trade surveillance policies and procedures for monitoring trading activities for any trading misconduct and money laundering suspicious transactions
  • Carry out daily review of trade surveillance exception reports, follow-up on exceptions noted and determine and recommend remedial or preventive actions
  • Review trade error reports and follow up on any irregularities noted
  • Escalate any breaches of regulatory requirements or misconduct or company policies
  • Conduct periodic review of company trade surveillance policies and procedures with the view to implement enhancements, if any to existing practices
  • Conduct investigation into any complaints or feedback received on any potential trading irregularities and any breaches of regulatory requirements noted during reviews or reports received on breaches
  • Develop compliance review programmes, Compliance workplans, self-assessment questionnaire and any other compliance programmes as may be required by Head of Department, front and back office, parent company, regulators and authorities
  • Liaise with relevant regulators, Head Office on any major findings and other compliance reporting requirements
  • Attend and participate in local management, regional and Board meetings
  • Review and process registration of trading representatives
  • Carry out awareness briefing and staff training on regulatory requirements, company policies and procedures
  • Assist Compliance Team to work on compliance tasks as may be required by Head of Department
  • Assist Head of Department / Compliance Team to carry out any compliance tasks or projects as and when necessary as directed by the Head of Department
  • Assist Head of Department and/or Compliance team in carrying out the advisory functions of the Department
  • Any other ad-hoc responsibilities as assigned

Legal matters

  • To review / assist to review legal agreements and business contracts with financial institutions
  • To act as a legal coordinator on legal matters with external legal counsels including those from parent company in Taiwan
  • To provide legal advice and views on ad hoc legal matters.

Requirements

  • Degree holder in related field with at least 7 years of relevant work experience in corporate law and Securities, Derivatives & Futures markets
  • High degree of professional ethics and integrity
  • Strong communication, interpersonal and organizational skills
  • Strong analytical and writing skills
  • Ability to work independently and interact with people at all levels
  • A strong team player who is confident, motivated, possesses initiative and the ability to prioritize, multi-task and work under pressure
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