COMPLIANCE REGULATORY OFFICER

Job Description
  • Provide FAA and SFA advisory services to all departments
  • Review new investment / Capital Market product to ensure compliance with FAA and SFA.
  • Provide FAA and SFA training to staff
  • Conduct sample checking to identify potential issues and provide advice on rectification
  • Provide FAA and SFA updates to all departments and impact analysis for implementation
  • Any other matters as may be instructed by management from time to time
Requirements
  • Business degree holder
  • At least 3-5 years of working experience in the banking industry with understanding in FAA and SFA
  • Possess a good understanding of Capital Market and Distribution of Investment Product is an advantage