Compliance Manager, Securities Trading

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...

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...

Key ResponsibilitiesCover a full spectrum of Compliance scope includes regulatory compliance, internal compliance, financial crime and compliance etcLiaise with regulators on regulatory filing and answer their enquiresReview regular transaction monitoring from financial crime perspectivesMonitor AML risk assessment for the firm and sanction complianceReview...

Roles & ResponsibilitiesAbout The CompanyKGI Securities is a leading multi asset brokerage firm with presence across several countries in Asia and a pioneer member of the Securities & Derivatives, Trading and Clearing Member of Singapore Exchange, ICE Futures Singapore and ICE Clear Singapore.We hold a Capital Markets Services License, is regulated by the...

About The CompanyKGI Securities is a leading multi asset brokerage firm with presence across several countries in Asia and a pioneer member of the Securities & Derivatives, Trading and Clearing Member of Singapore Exchange, ICE Futures Singapore and ICE Clear Singapore.We hold a Capital Markets Services License, is regulated by the Monetary Authority of...

We are looking for an experienced Compliance Manager to be responsible for ensuring adherence to regulatory and compliance requirements of the relevant governing Authorities.Job DutiesEstablishes the Compliance department's guidelines/policies and directs its technical and operational functions.Develops and executes a comprehensive Compliance program to...

Roles & ResponsibilitiesWe are looking for an experienced Compliance Manager to be responsible for ensuring adherence to regulatory and compliance requirements of the relevant governing Authorities.Job Duties Establishes the Compliance department’s guidelines/policies and directs its technical and operational functions. Develops and executes a...

Roles & ResponsibilitiesAbout The CompanyKGI Securities is a leading multi asset brokerage firm with presence across several countries in Asia and a pioneer member of the Securities & Derivatives, Trading and Clearing Member of Singapore Exchange, ICE Futures Singapore and ICE Clear Singapore.We hold a Capital Markets Services License, is regulated by the...

About The CompanyKGI Securities is a leading multi asset brokerage firm with presence across several countries in Asia and a pioneer member of the Securities & Derivatives, Trading and Clearing Member of Singapore Exchange, ICE Futures Singapore and ICE Clear Singapore.We hold a Capital Markets Services License, is regulated by the Monetary Authority of...

Roles & ResponsibilitiesResponsibilities To execute futures and options, forex, securities and related orders for all clients To provide fundamental and technical analyses to clients To provide trade support services to customers including market information and performance, monitor and advice on client margin calls and facilities, trading limits, solving...

Roles & ResponsibilitiesThe APAC Customs and Trade Compliance Manager is responsible for research regulatory compliance issues, interprets regulations, and communicates regulatory updates. He/she provides training, performs audits, and maintains productive relationships with governmental agencies. He/she supports internal and external customers so that they...

The APAC Customs and Trade Compliance Manager is responsible for research regulatory compliance issues, interprets regulations, and communicates regulatory updates. He/she provides training, performs audits, and maintains productive relationships with governmental agencies. He/she supports internal and external customers so that they can effectively manage...

Roles & ResponsibilitiesAbout EvidentAt Evident, we are guided by the scientific spirit—innovation and exploration are at the heart of what we do. Committed to making people’s lives healthier, safer, and more fulfilling, we support our customers with solutions that solve their challenges and advance their work; whether it’s researching medical...

About EvidentAt Evident, we are guided by the scientific spirit-innovation and exploration are at the heart of what we do. Committed to making people's lives healthier, safer, and more fulfilling, we support our customers with solutions that solve their challenges and advance their work whether it's researching medical breakthroughs, inspecting...

ResponsibilitiesTo execute futures and options, forex, securities and related orders for all clientsTo provide fundamental and technical analyses to clientsTo provide trade support services to customers including market information and performance, monitor and advice on client margin calls and facilities, trading limits, solving of out-trades.To ensure work...

eveloping and executing the Trade Marketing Plan in line with sales and marketing objectives and managing the Trade Marketing budgetImproving brand presence and campaign execution across trade through excellence in in-store planning, execution, and tracking in alignment with the annual marketing prioritiesLeading and implementing channel-specific marketing...

Job SummaryThe Trade Compliance Specialist will be a part of the APR region and the Global Trade Compliance and Strategy team to execute trade-related processes and measures to maintain the region's effective, risk-based trade compliance program. The position reports to the Regional Trade Compliance Manager. This position supports the administrative (APR and...

Roles & ResponsibilitiesResponsibilitiesThe Trade Compliance Specialist will be a part of the Global team to execute trade-related processes and measures to maintain the region’s effective, risk-based trade compliance program.This position supports the administrative processes to comply with international trade, including, but not limited to the APAC...

ResponsibilitiesThe Trade Compliance Specialist will be a part of the Global team to execute trade-related processes and measures to maintain the region's effective, risk-based trade compliance program. This position supports the administrative processes to comply with international trade, including, but not limited to the APAC international trade dual-use...

Key Responsibilities:. Coverage of institutional clients for both equity cash and derivative products. Interaction with global trading and research franchises as well as equity capital market team.. Manage and develop client relationships and understand new business ideas that maybe relevant.. Work with trading and structuring on a wide array of derivative...