compliance manager (brokerage) in Singapore

daniella koh, randstad
job type

job details

banking & financial services
job type
working hours
reference number
daniella koh, randstad

job description

about the company

Our client is a leading brokerage looking to expand their team with a seasoned compliance professional to support their burgeoning growth. With a focused commitment to growth in Asia, their comprehensive suite of financial products and services serves as the one-stop shop to fulfil the financial needs of their valued clients.

about the job

Your scope of duties will include:

  • Carrying out daily operations of the compliance department and supervising junior members
  • Assessing compliance risks and ensuring adequate controls are in place to mitigate these risks
  • Conducting annual review of the compliance monitoring plan and enterprise-wide AML risk assessment
  • Providing advisory on compliance matters to all stakeholders of the business
  • Keeping senior management abreast of changes in the regulatory landscape as well as updates in policies
  • Representing the company in meetings with regulators, authorities and industry forums when necessary
  • Developing and carrying out compliance training for all staff members to ensure the highest standards of compliance are practiced across the organisation

skills and experience required

  • Degree in Accountancy, Banking, Business or Law, or relevant professional qualification in financial services or audit
  • Minimum 6 years of relevant experience in compliance from another securities / futures / brokerage / capital markets background
  • Is charismatic, influential and has strong interpersonal and communication skills

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


no additional skills required


no additional qualifications required

educational requirements

Bachelor Degree