• Well-versed in the fundamental and technical analysis on stocks, as well as proficient in various financial products including Bonds, Margin, and more.
• Effective communication skills to be able to speak to clients on an individual or in a seminar/ webinar capacity
Whether you are new to the industry or an experienced adviser looking for a broader platform, we would love to have a conversation.
Why Join Our Team?
Learn Through Mentorship. You will be part of a collaborative team where guidance, coaching and continuous learning are part of the culture. We believe that success is built over time through consistency, support and shared experiences.
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Working closely with various functions within the firm to ensure that the firm and its funds comply with the requirements of all applicable statute, rules and regulations.
Overseeing pre-trade and post-trade compliance.
Implementing and enhancing ESG risk management framework, policy compliance and monitoring processes.
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Evaluate effectiveness of control procedures, identify any compliance gaps or deficiencies and follow up on corrective action plans to ensure timely and effective resolution of identified compliance gaps.
Prepare clear and comprehensive annual compliance assurance work plan, assurance review programs and reports, including observations, risk ratings, and recommended remediation actions.
Monitor and track regulatory updates and changes from MAS, SGX, and other regulators, and assess their impact on business processes. Support the development and maintenance of the regulatory library using appropriate AI/RPA tools.
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