Compliance Manager, Securities Trading / Brokerage Firm (Singapore)

Singapore   24th April 2024

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
  • Well-versed with regulatory requirements in brokerage / securities trading industry
  • Familiar with AML/ KYC tools and financial crime prevention standards
  • Bachelor’s degree in business or legal or other disciplines

Interested parties please send your resume to Loretta Chan, R1876188 at [email protected].
Regrettably, only shortlisted candidates will be contacted.

EA License Number: 20C0180 | Amethyst Partners | [email protected]