Compliance Manager, Securities Trading / Brokerage firm

Our client is a securities trading / brokerage firm with a strong track record in the region. As the business continues to grow they are looking for a Compliance Manager and the role is based in Singapore.

Key responsibilities:

• Cover a full spectrum of Compliance scope includes regulatory compliance, internal compliance, financial crime and compliance etc
• Liaise with regulators on regulatory filing and answer their enquires
• Review regular transaction monitoring from financial crime perspectives
• Monitor AML risk assessment for the firm and sanction compliance
• Review and execute compliance policies and procedures for the firm
• Update and advise the senior management on the compliance requirements to ensure the firm’s is aligned with regulatory standard
• Keep track of new regulatory requirements and update the internal stakeholders
• Maintain the overall compliance team operations and participate in process improvement when necessary

Key requirements:

• At least 6 years of Compliance experience in brokerage / securities trading / exchange / payment services industries
• Bachelor’s degree in business or legal or other disciplines
• Well-versed with regulatory requirements in brokerage / securities trading industry
• Familiar with AML/ KYC tools and financial crime prevention standards
• A good all-rounded experience in compliance
• Good communication and presentation skills
• Motivated, meticulous and mature

Interested parties please send your resume to Loretta Chan at [email protected]

Regrettably only shortlisted candidates will be contacted

EA License Number: 20C0180| Registration no: R1876188