compliance manager, brokerage in Singapore

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job details

banking & financial services
job type
S$ 10,000 - S$ 14,000 per month
reference number
daniella koh, randstad
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job description

about the company

As a result of ongoing and continued successes both within Singapore and internationally, this global leader within the brokerage industry is seeking an experienced compliance officer to support their burgeoning business. If you're an adaptable and tenacious individual looking for broad-based exposure and a challenge, this role might just be your next career move.

about the job

You will play a vital role in ensuring all compliance controls are in accordance with local regulations. Your role is to:

  • Act as the main point of contact for all compliance-related matters from traders, external regulators/ auditors and all stakeholders of the business
  • Conduct on-boarding and stringent KYC checks of new clients as well as regular customer due diligence reviews as and when necessary. Investigations should also be carried out accordingly
  • Enhance the organisation’s compliance manuals and update them as and when policy and notice updates are released
  • Participate in adhoc global projects
  • Prepare and present reports to senior management, outlining weaknesses and providing follow-up solutions

skills and experience required

  • Degree in Accountancy, Banking, Business or Law, or relevant professional qualification in financial services or audit
  • Minimum 8 years of industry experience, with minimum 3 years of experience within Compliance roles, ideally from a brokerage environment
  • Familiar with SFA and CMS license requirements
  • Ability to communicate in mandarin chinese is necessary in order to liaise with internal and external stakeholders based in China
  • Strong ability to engage with front office traders and possess excellent stakeholder.
  • Independent and self-motivated worker

To apply online please use the 'apply' function, alternatively you may contact <Daniella Koh> at <65106574>.
(EA: 94C3609/ <R1655148> )