AVP - Regulatory Compliance - Securities

You will be required to work closely with management to provide counsel, advice and support to the business on compliance related areas

You will also be required to: 

• Provide advisory services on transactional issues, for existing and new business initiatives and products
• Manage on-going regulatory matters
• Generate Compliance Rule, policies and procedures and related internal rules, or revise company existing Compliance Rule in line with Head Office policies and procedures.
• Manage periodic KYC for existing clients
• Maintain continuous and regular communication with HQ 
• Support to make necessary documents of various agreements and contracts for all businesses.

To qualify for this role, you must possess

• 5 years compliance experience
• Prior experience in securities compliance
• Ideally candidates with brokerage experience
• Strong experience in Securities and Futures Act (SFA) and Financial Advisors Act (FAA)

To apply for this role, do email your latest cv to [email protected] 

Registration No: R1110469

EA License No: 19C9859