Job Description
This is a dual hatted role and will entail reporting to the Team Lead of Private Wealth Compliance in Nikko Securities and Team Lead of Compliance Team in SMBC Singapore. Job Responsibilities : Provide advice to Private Wealth Business Unit and other stakeholders on regulatory matters including but not limited to investment suitability, licensing/ RNF matters, cross-border compliance, Personal Account Dealing, handling of MNPI, regulatory requirements involving SFA, FAA, PB Code of Conduct and other general compliance matters to ensure adherence to internal policies & procedures. Perform gap analysis on new regulations, regulatory changes, MAS's Information Papers that impacts the Private Wealth Business. Assist in the implementation of new regulatory requirements and ensure adherence to these requirements for Private Wealth Department by assisting to update the relevant policies and procedures, controls etc. Conduct Monitoring & Testing reviews on various regulatory obligations includ...