Compliance Manager/ Senior Manager

Role Overview:

This role will be responsible for ensuring that the regulated entities understand and comply with all applicable laws, regulations, and internal policies through the development and implementation of effective systems, controls and processes that promote regulatory compliance across business activities.

Key Responsibilities:

• Develop, implement, and continuously improve the compliance program.
• Primary liaison with local and overseas regulators and exchanges.
• Report regularly to senior management, the board and various committees on regulatory compliance matters, key metrics, and emerging risks.
• Foster a culture of compliance and ethical conduct throughout the organization.
• Provide training and awareness programs to staff on relevant rules and regulations.

• Provide advisory guidance and oversight to business units to ensure ongoing compliance with new and updated rules, regulations, and internal policies.
• Provide monthly and ad-hoc reporting to internal stakeholders.
• Establish a compliance workplan to review and check on the effectiveness and adequacy of the control procedures put in place by business units/entities to comply with regulatory requirements.
• Conduct regular reviews and updates of policies and procedures to align with regulatory changes.

• Point of contact for inspections, audits, and inquiries from regulatory authorities and financial partners.
• Co-ordinate remediation efforts following regulatory findings, external or internal audit observations.

• Assist with licensing matters.
• Ensure timely and accurate submission of regulatory returns, questionnaires and surveys.
• Perform detailed compliance risk assessments on new and existing products/services.
• Provide compliance input during product development and service enhancement processes.
• Represent Compliance at various committees and workgroups to provide compliance input and support.

Qualifications:

• Bachelor’s degree in Business, Accountancy, Finance or related field.
• Minimum 8 years of experience with a regulated financial institution, preferably in the capital markets industry.
• Strong knowledge of SFA, SFR, Exchange rules and regulations.
• Experience interacting with regulators and auditors.

• Experience working in a multinational environment.
• Familiarity with applicable rules and regulations surrounding capital markets products, including, futures, listed and OTC derivatives products.
• Knowledge of stock, derivatives and futures trading on major international markets.

Key Competencies:

• Good understanding of compliance risk and regulatory frameworks.
• Strong analytical, problem-solving and decision-making skills.
• Excellent communication and stakeholder management abilities.
• Integrity, accountability, and high ethical standards.
• Strong project management and organizational skills.
• Team player