Responsible for assisting the formulation and execution of supervisory oversight frameworks, policies, and initiatives as well as continuously monitor companies and markets to keep abreast of latest developments, risks and issues; and provide recommendations to ensure licensed and regulated conduct in the capital market as well as assist in maintaining effective working relationships with stakeholders.

• Assist in supervisory assessments/ engagements/ examinations in accordance with audit plans.
• Perform research and analysis on the state of industry and intermediaries regularly to clarify proper market conduct practices, share outcomes and provide recommendations where necessary.
• Assist in formulating and reviewing the relevant departmental policies and guidelines.
• Perform technical review and evaluation on proposals and applications by licensed intermediaries and propose recommendations for approval.
• Assist in performing risk assessments by collecting and analysinginformation from the intermediaries to identify any potential risks and weaknesses and provide recommendations for mitigation.
• Prepare reports upon completion of each examination to demonstrate that the examination objectives and conclusions are achieved.
• Assist in forming effective working relationships and engaging with internal and external stakeholders to provide technical views to address any issues, enquiries and concerns.
• Assist in initiation of administrative/enforcement proceedings and preparation of the relevant papers for tabling.
• Undertake ongoing surveillance to ensure compliance by market intermediaries.
• Conduct research and analysis on compliance and development state of industry and intermediaries to ensure practice consistency.
• Review risk assessments to ensure the risks have been addressed appropriately to determine suitable measures to mitigate the risks.
• Perform technical review on audited companies, present findings, and provide recommendations for approval or necessary action.
• Initiate review and formulate review of policy development initiatives including departmental policies and guidelines to ensure its feasibility and relevance to the industry and intermediaries.
• Supervise and lead the team to oversee intermediaries in accordance with risk rating framework.
• Assist in or lead initiation of administrative/ enforcement proceedings and preparation of the relevant papers for tabling.
• Establish effective working relationships and engage with relevant internal and external stakeholders to provide technical views to address any issues, enquiries, and concerns.
• Share technical insights to facilitate discussion and decision making.
• Review the deliverables of team members to check for accuracy and appropriateness.

• Bachelor's degree in any relevant discipline.
• 6-10 years of working experience.
• Experience in auditing, regulatory authority, financial institution or capital market intermediaries.
• Knowledge in examination skills, policy and business rules, risk management and financial monitoring

• Bachelor's degree in any relevant discipline.
• 3-5 years of working experience.
• Experience in auditing, regulatory authority, financial institution or capital market intermediaries.
• Knowledge in examination skills, policy and business rules, risk management and financial monitoring.

• Bachelor's degree in any relevant discipline.
• At least 2 years of working experience.
• Experience in auditing, regulatory authority, financial institution or capital market intermediaries.
• Knowledge in examination skills, policy and business rules, risk management and financial monitoring.