Regulatory Compliance Professional Specialist

2 weeks ago

Singapore beBeeCompliance Full time $80,000 - $120,000

Job Title: Compliance Expertise Specialist

About Regulatory Compliance Roles:

  • This role is designed to enhance the compliance function and ensure adherence to regulatory requirements.

You will play a key role in providing compliance advice to business units, including derivatives, securities, and retail CFDs.

Key Responsibilities:

  • Provide regulatory guidance on licensing applications, research, management information, and compliance reports.
  • Review marketing materials, regulatory changes, and policies and procedures to ensure alignment with laws and regulations.
  • Advise front, middle, and back-office functions (Business, Finance, HR, Operations, Risk) on regulatory topics.
  • Support audits, investigations, and queries from regulators and exchanges.
  • Conduct compliance reviews, testing, and trade surveillance.

What We're Looking For:

  • 1-5 years of experience in regulatory compliance within financial services or a regulatory environment.
  • Strong working knowledge of Singapore financial regulations.
  • Willingness to collaborate with a diverse team, including professionals from regulators, banks, and law firms.

What Will Make You Stand Out:

  • Product knowledge in derivatives (OTC and ETD), leveraged FX, and CFDs, including compliance testing and trade surveillance.
  • Previous experience in brokerage arms of banks or financial services firms.
  • Attention to detail with a proactive, hands-on approach to problem-solving.
  • A agile mindset, collaborative spirit, and trustworthy team player.

Qualifications:

  • University degree in accounting, business, finance, law, or related fields.
  • Professional compliance certification is an advantage.

Benefits:

  • Foster a strong understanding of regulatory compliance and its importance in the financial industry.
  • Collaborate with a diverse team of professionals to achieve common goals.
  • Develop product knowledge in derivatives, leveraged FX, and CFDs.

Others:

  • Maintain accurate records and update policies as needed.
  • Stay up-to-date with regulatory changes and updates.

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