Compliance Officer – Capital Market experience
Key Responsibilities: Assist in providing advise and guidance to our sponsored clients, listed on the Singapore Stock Exchange Securities Trading Limited (the “SGX-ST”) in their continuing listing obligations, compliance with the laws and regulations applicable, including the relevant Bye-Laws and the Rules of Catalist of the SGX-ST, and on corporate governance:
- Review of announcements, circulars and offer documents to be disclosed to the shareholders and public to ensure compliance with the regulatory requirements, including the Companies Act (Chapter 50), Code of Corporate Governance, Listing Manual of SGX-ST, MAS Regulations and the Takeover Code
- Review of Regulatory and compliance for corporate actions including: issuance of additional securities and derivatives, major acquisitions & realisations, mandate for share repurchases and interested person transactions, etc.
- Monitor trading activities of sponsored clients for any unusual trading
- Liaise with external advisors, lawyers, financial advisers and regulators with respect to various regulatory and compliance issues
- Conduct due diligence for on-boarding of new clients
- Promote a robust risk management culture
- Manage ad-hoc projects as assigned from time to time
- University graduate in Law / Accounting / Business or other comparable qualifications
- 2-3 years of Para-legal work experience in areas of legal transactional and/or commercial areas
- Familiar with relevant financial laws, rules and regulations such as SGX-ST Listing Rules, SFA, MAS Regulations, Companies Act, Code of Corporate Governance, etc.
- Sound understanding of good compliance and risk management practices
- Mandarin-speaking candidates preferred for Chinese clients
- Good organisational and project-management skill
- A fast learner with great working attitude
Be part of a team that is well equipped to supervise, advise and provide guidance and assistance to Catalist companies in their continuing listing obligations, compliance with the laws and regulations including the Catalist Rules, and on corporate governance.
Due to rapid growth, we are seeking experienced Registered Professionals to join our team.
- Continuing Sponsor
As a Registered Professional of RHT Capital Pte. Ltd. an approved continuing sponsor on Catalist, the sponsor-supervised board of the Singapore Exchange Securities Trading Limited (“SGX-ST”), you will lead a team and work hand-in-hand with our sponsored clients to provide them with regulatory advices and guidance, and assists them in their continuing listing obligations, compliance with the laws and regulations including the Catalist Rules and corporate governance. Besides the review of announcements and circulars to be disclosed to the shareholders and public, you will also exercise regulatory and compliance supervision of corporate actions including shares / bonds / warrants issuance, major acquisition / realisation, mandate for share buyback and interested person transaction etc.
- Regulatory and Corporate Governance Compliance
You will also have the opportunity to assist in the offering of customised regulatory compliance and corporate governance programmes (in English and Mandarin) to suit the individual requirements and needs of our clients.
- Directors and Key Executives Training
You will get to participate in the conduct of training courses for our clients (in English and Mandarin) both locally and overseas covering the legal duties, rights and liabilities of Directors and Key Executives of Listed Companies and its subsidiaries under the laws and regulations of Singapore (including the Catalist Rules and Listing Manual of the SGX-ST, the Securities and Futures Act and the Companies Act).
You will have the opportunity to be involved in the conduct of seminars and talks on new developments in the laws and regulations of Singapore relevant to companies listed on the SGX-ST including requirements and guidance from the regulatory bodies.
Please send your resume and a brief cover letter, stating the position you are applying for, to: vie email or Head of RecruitmentRHT Capital Pte. Ltd.Six Battery Road #10-01 Singapore 049909 If you have any questions about opportunities at RHT Capital, please contact us. Alternatively, you could also register your interest in the Firm by filling in the online application form for the position you are applying for.
We regret that only shortlisted candidates will be notified.