Compliance & Legal – Compliance – VP

About Us:
Huatai International Financial Holdings Company Limited (“Huatai International” or “the Company”), is the only overseas wholly-owned or controlled subsidiary of Huatai Securities. Huatai International is the Huatai Group’s international arm which plays as a crucial role in the group's internationalization strategy by:
a) not only providing offshore capital market services (and a global business platform) but also provides onshore clients with valuable cross-border capital market services (aligned with the mainland China government’s policies and commercial intentions);
b) actively making use of Huatai Securities’ leading position, distribution network and customer base in mainland China;
c) integrating on a global basis across many jurisdictions and regions, a successful and fully integrated international financial platform with innovative financial services solutions.

Huatai International operates as a holding company for consolidating all of the group’s cross-border businesses and companies under one umbrella, offering a truly unified and international business platform. In recognition of such international strength, the renowned international rating agency Standard and Poor’s has assigned Huatai International a “BBB+” rating (for long term) and “A-2” (for short-term).

Job Description:

• Provide regulatory and firm compliance policy advice/ guidance to equity capital markets, as well as debt capital markets and syndicate teams, and management on issues related to underwriting and private placements, marketing and selling securities offerings, as well as information barriers and other internal controls and issues.
• Provide AML guidance to the management and business teams, build AML and transaction monitoring system for the company;
• Liaise and communicate with the regulator on matters such as license application, inquiries and inspection;
• Oversee and coordinate with business, control room and legal regarding the firm’s information barrier policy and to manage conflict of interest.
• Provide guidance to business management with respect to supervision structure, process and responsibilities and ensure adherence to guidelines and checklists, ensuring procedures and controls set out in the IBD operating procedures manual are followed.
• Monitor and review announcements, circulars and offer documents to be disclosed
• Liaise with external lawyers, financial advisers and regulators with respect to various regulatory and compliance issues
• Update and implement policies, procedures and controls to meet regulatory requirements of MAS, SGX-DT, SGX-DC.
• Conduct compliance assurance reviews and testing on business units’ processes and controls to assess level of compliance with applicable regulatory/industry requirements, identify gaps, provide recommendations, escalate issues/risks promptly and work with business units to implement timely remedial actions
• Provide compliance trainings as requested by management, regulator or the business teams;
• Coordinate compliance issue management, escalation and reporting.

Qualifications:

• Degree in Law/ Accounting/ Business/Economics/Finance or other comparable qualifications
• Minimum 6 years of work experience in Singapore compliance areas with reputable Singapore financial institution or regulator
• Familiar with relevant laws, rules and regulations such as SGX-ST/DC/DT Rules, SFA, FAA, MAS Regulations, Companies Act, Code of Corporate Governance, etc
• Experience in dealing with audits and/or regulatory examinations
• Sound understanding of good compliance and risk management practices
• Experience of reviewing legal documents will be preferred.
• Experience of managing a small legal and compliance team is a plus
• Good organizational and project management skill
• A fast learner with agile mindset, collaborative and trustworthy team player with great working attitude
• Mandarin-speaking candidates preferred