Regulatory Compliance Expert

4 days ago


Singapore KS Talent Solutions Full time

About the Role:

We are seeking a highly skilled Regulatory Compliance Expert to join our team at KS Talent Solutions. This role will be responsible for ensuring compliance with regulatory requirements in the Financial Institution and Markets Compliance areas.

Responsibilities:

  • Monitoring Regulatory Changes: Track and evaluate regulatory changes affecting the Financial Institution's business and operations, including those related to Foreign Exchange (FX) and Commodities.
  • Compliance Advisory Services: Provide expert guidance to front office colleagues on regulatory requirements relevant to the FICC business, ensuring that all activities are conducted in accordance with applicable laws and regulations.
  • Licensing Management: Oversee the maintenance of necessary licenses for the branch and employees involved in business activities.
  • Desk Reviews and Audits: Conduct regular compliance reviews of front office departments to ensure adherence to regulatory requirements.
  • Training Delivery: Lead training sessions on Markets Compliance for Front Office and other departments, promoting a culture of compliance throughout the organization.
  • Product Approval Process: Review and approve new product requests to ensure they meet regulatory standards.
  • Trade & Communications Surveillance: Support the team with surveillance tasks, including investigating breaches and ensuring that all communication and trade practices comply with regulatory requirements.
  • Risk Assessment: Perform annual Compliance Risk Assessments for the branch to identify potential risks and implement mitigating measures.
  • Project Support: Assist with compliance projects, audits, and inspections, providing expert advice and guidance as needed.
  • Leadership Support: Act as a deputy for the team lead during their absence, ensuring seamless continuity of operations.

Requirements:

  • Education: A university degree is required.
  • Experience: 5-8 years of experience in Markets Compliance or related fields, specifically in Global Markets sales and trading.
  • Regulatory Knowledge: Familiarity with the Banking Act, Securities and Futures Act, Bluebook, FX Global Code of Conduct, and other MAS notices and guidelines related to FICC sales and trading.

What We Offer:

A competitive salary of SGD 120,000 - SGD 180,000 per annum, commensurate with experience, and a comprehensive benefits package, including health insurance and professional development opportunities.



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