UOB Kay Hian Pte Ltd

Compliance (Senior Officer / Officer)

UOB Kay Hian Pte Ltd| Date Posted: 17-Jul-2019
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Job Nature:
Permanent
Position Level:
Experienced
Qualification:
Bachelor's / Honours

Job Description

 

You will report to the Associate Director (Compliance).  Your main responsibilities include:

  • Assisting in compliance functions such as designing and performing compliance monitoring / surveillance and reviews to ensure compliance with applicable laws and regulations
  • Providing advisory support to business units and the management and conducting  investigations
  • Assisting in training on compliance issues
  • Preparing periodic reports to the Senior Management or relevant Committee on compliance reporting based on FAA, SFA and related relevant regulations requirement

Requirements:

  • Degree in Accountancy, Business, Banking & Finance or equivalent qualification
  • 2 years of relevant experience in Compliance, Internal or External Audit
  • Knowledge of MAS and SGX regulations
  • Strong ability in assessing the appropriateness of the FI's compliance procedures and guidelines and evaluating compliance with requirements
  • Good team player with excellent interpersonal and communication skills due to significant interaction with both senior and experienced colleagues across the organization
  • Independent worker with strong analytical skills, high level of integrity, drive and sense of urgency  


 

 

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UOB Kay Hian Pte Ltd