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

KGI Securities (Singapore) Pte. Ltd.
à Singapour, Singapore, Singapour
CDI, Plein-temps
Dernière candidature, 22 oct. 20
Competitive
KGI Securities (Singapore) Pte. Ltd.
à Singapour, Singapore, Singapour
CDI, Plein-temps
Dernière candidature, 22 oct. 20
Competitive
Diffusée par:
Kai Xuan Melissa Tan • Recruiter
Diffusée par:
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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