Compliance Manager (Investigations) l Contract l Up to $7K

Location Singapore
Discipline Legal
Job Reference BBBH149433_1745382099
Salary S$5000 - S$7000 per month
Consultant Name Rupa Kankariya
Consultant Email [email protected]
Consultant Contact No. 65515317
EA License No. 02C3423
Consultant Registration No. R1441955


Principal Responsibilities

  • Conduct investigations in relation to market misconduct complaints and follow-up actions.
  • Perform market conduct compliance reviews, monitor and implement follow-up actions.
  • Liaise with the regulator and relevant government agencies.
  • Maintain and revise policies and procedures for the general operation of distribution compliance activities.
  • Cover duties of team leader and members in his/her absence.


Requirements

  • Diploma in compliance or equivalent or degree in business, finance or equivalent.
  • Minimum 2-3 years of relevant experience in compliance, or investigation background from law enforcement agencies.
  • Knowledge in Financial Advisers Act ("FAA") and relevant MAS notices and guidelines.
  • An initiator who can work independently at the same time collaborates well with the team.
  • Excellent interpersonal, communication and analytical skills.


Interested Applicants, please email your resume to [email protected] (R1441955), stating the position as the subject title in the email. All Applications will be handled with strict confidentiality.

Rupa Kankariya EA License No. 02C3423 Personnel Registration No. R1441955

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