Senior Compliance Associate

3 days ago

Singapore MERJE Full time

Overview
MERJE is supporting a leading global name in the trading/broking space in their search for a dedicated Compliance Specialist.
Responsibilities
Providing detailed regulatory advice to the business
Conduct compliance reviews, compliance testing, and trade surveillance related to the businesses
Prepare licensing applications, regulatory submissions, regulatory research, management information and compliance reports
Review marketing materials
Assist in audits, investigations and queries from regulators and exchanges
Manage compliance and reputational risks by ensuring adherence to laws and regulations
Requirements
3-5 years of experience in regulatory compliance in financial services or regulatory environment
Working knowledge of Singapore FS regulations
Ideally a good spread of product knowledge across derivatives (OTC and ETD), commodities, options, leveraged FX and CFDs
Attention to detail, pro-active, hands-on approach to problem solving
Job Details
Seniority level: Associate
Employment type: Full-time
Job function: Finance
Industries: Financial Services and Investment Banking
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