Senior Manager, Intermediary Supervision

Responsible for formulating and executing 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 to maintain effective working relationships with stakeholders.

Main Accountabilities

• 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