Regional Compliance Officer – 6 months Maternity Cover Regional Compliance Officer – 6 months Maternity  …

LMA Recruitment
in Singapur
Befristete Anstellung, Vollzeit
Seien Sie der erste Bewerber
Competitive
LMA Recruitment
in Singapur
Befristete Anstellung, Vollzeit
Seien Sie der erste Bewerber
Competitive
Gepostet von:
Dyana Jumadi • Recruiter
LMA Recruitment
Gepostet von:
Dyana Jumadi
Recruiter
Regional Compliance Officer – 6 months Maternity Cover

Responsibilities:

  • Provide oversight of the compliance functions of the Local Business Units (LBU) allocated to him/her. Ensure that the local compliance teams are adhering to the  Group/Regional Compliance Policies & Standards and implementation of industry best practices, taking into account commercial requirements and local regulatory complexities.
  • Work with the LBU Heads of Compliance to ensure that the Annual Compliance Monitoring Plan (ACMP) established for the LBUs and the compliance tests have been designed to monitor applicable regulatory and compliance risks.
  • Conduct regular reviews of the status of implementation of the LBU ACMP and report accordingly.
  • Be in regular contact with the LBU Heads of Compliance in order to understand and identify the key compliance risks; review and analyse the key compliance management information / statistics and regulatory changes that both Head Office and LBU Compliance teams should watch out for.
  • Be responsible for assigned adhoc tasks such as KI Dashboard reporting; Personal Account Dealing monitoring and reporting; 13H reporting etc
  • Assist to review marketing materials to be posted on global website or social media.
  • Assist to implement Group and PCA policies & standards; and international best practices

 

Requirements

  • Total working experience of at least 8 years with experience in the areas of risk and compliance preferably in asset management industry.
  • Have had exposure to cross border regulatory matters preferred.
  • Proficiency in English and one other Asian language

 

Company Reg No.: 201131609D

Licence No.: 11C4684

EA Reg no: R1328685

 

Unternehmensporträt

Big enough to find the best.

Small enough to really know them.

It’s easy to get pompous about what we do. To name drop our global clients or wax lyrical about ‘pioneering psychometric testing’. But if you’re not careful, you lose sight of what’s really important; relationships and people.

Without relationships, you don’t truly understand the client, their business culture and who they really need. You miss the nuances of each candidate, the human behind the CV and what makes them tick. And the ‘right fit’ slowly starts to blister.

Since 1999, LMA has supplied great candidates to blue-chip businesses in London and Singapore. We draw on in-depth market intelligence and use industry-leading tools to search, screen and select. We have specialist consultants and a global network. And we’re professional beyond measure. 

But we never lose sight of what matters; how important the right people are to businesses, and the right careers are to people.

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