Job Description

JOB RESPONSIBILITIES:-

• Provide advisory services concerning the interpretation, application and operationalization of market conduct-related regulations, or on new business initiatives where required;
• Maintain oversight on Business Units via conducting assurance exercises, compliance reviews to identify and mitigate compliance gaps/risks by proactively applying best risk management practices;
• Perform regulatory and management reporting where required;
• Establish and resolve any market conduct compliance issues faced, including issues raised by the regulator;
• Support the Sales Compliance section, and Market Conduct department on section/department-wide initiatives/working groups as required;
• Exercise accountability in considering business and regulatory compliance risks and takes appropriate steps to mitigate the risks;
• Maintains awareness of industry trends on market conduct risks, regulatory compliance, emerging threats and technologies to understand the risk and better safeguard the company.

• Degree Holder in finance/ business or equivalent;
• 3-5 years of relevant working experience in market conduct/ sales compliance would be an added advantage;
• Proven strong analytical, decision-making, and communication skills;
• Possession of a broad knowledge of business, products and operations of the financial services industries, and familiarity with risk and compliance processes will be an added advantage;
• High level of integrity, accountability over personal and team deliverables and able to work well as a team-player;
• Takes initiative to improve current state of things and adaptable to embrace new changes;
• Candidates with experience in audit, project/ stakeholder management or operations roles who are looking for career switch will be considered as well.