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March 27, 2021
Acting as the firm's point of contact with the MAS, exchanges and other regulatory bodies;
Advising the business on regulatory matters relating to business development projects;
Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to brokers in the region;
Designing procedures for complying with MAS and exchange requirements for all regulated activities.
Drafting and implementing firm policies and written supervisory procedures;
Management of regulatory inspections and audits (both internal and external), and developing/implementing the relevant remedial action plans to address any findings;
Crafting written instructions for programmers and technology staff in light of new regulations or to launch new business lines;
Gather information and prepare written responses to enquiries from MAS, exchanges and other regulatory bodies and law enforcement agencies.
Must be a self-starter with strong analytical skills and able the ability to work at a fast pace;
Superior organizational skills with the ability to prioritize and work independently in a dynamic and fast-pace working environment;
The ability to manage a team and take ownership of projects and tasks with minimal supervision.
The ability to understand business requirement in order to work with the business to provide regulatory support on business development needs;
Proven experience and track record at a financial services regulatory agency, exchange or licensed financial services firm;
Familiarity with the regulatory process, rules and codes of Singapore, knowledge of other APAC jurisdiction is a plus;
A "can do" attitude with a willingness to learn;
Strong technical orientation and be comfortable with computers and technology as applied to trading, surveillance and compliance;
Fluency in English (both written and spoken) is essential, Chinese skills will be beneficial.
Internal Number: 10395195
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