Chief Compliance Officer

Overview

The Opportunity:

The Fisher Investments Singapore Pte. Ltd. Chief Compliance Officer oversees the Company's Compliance and Anti Money Laundering Program and functions as an independent and objective body that reviews and evaluates compliance issues/concerns within the organization. The CCO helps to ensure that the Company and its employees maintain compliance with the rules and regulations of regulatory agencies, that Company policies and procedures are being followed, and that behavior in the organisation meets the firm's ethical and business conduct requirements.

The Day-to-Day:

• Develop and maintain an effective compliance and anti-money laundering program at the Company
• Provide advice and guidance to the business on relevant regulatory issues
• Identify, assess and research the scope of regulatory impact from new regulations and provide compliance advice on regulatory developments
• Develop, initiate, maintain and revise policies and procedures to help prevent, detect and correct illegal, unethical or improper conduct
• Respond to alleged violations of rules, regulations, policies or procedures by evaluating or recommending the initiation of investigative procedures. Develop and oversee a system for uniform handling of such violations
• Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future
• Provide reports on a regular basis, and as directed or requested, to keep senior management and the FIS Board of Directors informed of the operation and progress of compliance efforts. Ensure proper reporting of violations or potential violations to senior management, the FIS Board of Directors and regulators as appropriate and/or required
• Institute and maintain an effective compliance communication program for the organization, including promoting an understanding of new and existing compliance issues and related policies and procedures
• Develop and maintain an effective compliance and AML training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers
• Perform ongoing appraisal and analysis of regulatory environment to allow senior members of the business to understand regulatory developments
• Acts as the firm liaison with regulatory agencies as necessary
• Manage FIS compliance personnel
• Work closely with members of the global legal and compliance team to help ensure a culture of compliance and a congruent compliance program throughout the organization

• Bachelor's degree in Finance, Business, Law, or a related field; Master's degree preferred
• Professional certifications such as FRM, CFA, or CAMS
• Minimum of 10 years of progressive experience in regulatory compliance and risk management, preferably in the financial services industry
• In-depth knowledge of financial regulations in Singapore and international markets
• Expertise in risk assessment methodologies and compliance best practices
• Excellent project management and strategic planning abilities
• Outstanding communication and presentation skills, with the ability to influence at all levels of the organization
• Demonstrated ability to make decisive, data-driven decisions in complex regulatory environments

• 100% paid premiums for top-tier supplemental medical, dental, and vision for employees and their qualified dependents
• Employer-paid therapy, coaching, and other EAP services including well-being support
• Family Support programs including $10,000 fertility, family forming, and hormonal health assistance, and back-up child, adult, and elder care
• A collaborative working environment that practices ongoing training, educational support and employee appreciation events