Legal & Compliance - Toa Payoh
Four Elements Toa Payoh Full-time
About Four Elements Capital
Established in 2008 and based in Singapore, Four Elements Capital is a financial data science asset management company with a primary focus on the creation and replication of tailor-made indices using its managed account platform. In addition, Four Elements Capital oversees a Commodity Trading Advisor (CTA) Fund.
About the job
The primary objective of this role is to help ensure the effective management of relationships with all regulatory entities, brokers/clearers, and internal compliance, while diligently adhering to market risk limits.
Responsibilities- Regulatory Compliance: Uphold the company's risk and compliance framework in alignment with regulatory bodies. Prepare regulatory filings, stay abreast of regulatory changes, and handle inquiries and audits efficiently.
- Broker Relations and limits: Develop and maintain strong relationships with brokers, negotiate service terms, and monitor their performance to ensure optimal service quality.
- Compliance and Risk Management: Establish and enforce compliance rules, conduct regular audits, and provide staff training to ensure all team members adhere to these standards.
- Risk Monitoring: Define and enforce risk limits, continuously monitor risk levels, and implement proactive measures to mitigate risks.
- Stakeholder Communication: Maintain regular communication with stakeholders, prepare comprehensive reports on compliance and risk management, and strive for continual improvement in processes for enhanced efficiency and effectiveness.
- Education: Bachelor’s degree in Law, Business, or Economics. A Master’s degree is considered an advantage.
- Experience: 2 years experience within the financial services industry is a plus.
- Skills: Strong organizational and communication skills, detailed knowledge of regulatory requirements, technology to boost productivity and the ability to handle complex negotiations and partnerships, coding is a plus.
IQ-EQBukit Batok, 10 km from Toa Payoh
Job Description
• Manage a portfolio of clients
• Provide advisory and consultancy services to clients
• Submit and/or review of regulatory filings and notifications
• Liaise and correspond with MAS and auditors
• Periodic compliance reporting...
JOBSHINE PTE. LTD.Toa Payoh
Responsibilities:
1. Provide support to Head of Compliance
• Managing compliance risks within business operations and ensuring robust monitoring and reporting mechanisms.
• Perform compliance testing includes actively checking and assessing...
Singapore River, 5 km from Toa Payoh
about the company
Our client is a Bank hiring for a Head of Compliance. As a senior leader of the team, your role would be to partner with senior management in developing and establishing strong internal controls and an effective compliance...