Compliance (Trade Surveillance), Securities Trading / Brokerage Firm

Direct message the job poster from Amethyst Partners Our client is a regional securities brokerage firm that provides fully integrated services to clients to access forex, futures, options, commodities, derivatives products, etc. As the business continues to grow, they are looking for a Senior Executive, Compliance and the role is based in Singapore. Key...

Our client is a regional securities brokerage firm that they provide fully integrated services to clients to access forex, futures, options, commodities, derivatives products etc. As the business continues to grow, they are looking for Senior Executive, Compliance and the role is based in Singapore. Key Responsibilities - Work as a team to provide...

L- Posted by - Loretta Chan- Director 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...

**Details of the Division and Team**: In the APAC region, Surveillance team consists of teams of analysts and compliance officers located in Hong Kong, Singapore, Bangalore, Mumbai and Tokyo. The Singapore team coverage includes Listed Derivatives, Fixed Income and FX products, in addition to Communication Surveillance. The person in Singapore will...

I'm working with a well-established securities firm who are rapidly growing both across SG and internationally. They look for high caliber, driven and dynamic individuals who will contribute to their culture. The compliance team is young and hard working, currently sitting at 3 in headcount, reporting into the Head of Compliance. My client is looking to...

Associate Director – Trading Practices Compliance Barings invites you to apply for the Associate Director – Trading Practices Compliance role in its Singapore Compliance business unit. The position focuses on day‐to‐day surveillance and oversight of the firm's trading functions, the assessment of trading risk, and the enforcement of trading policy...

DescriptionBring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the centre of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks and using your expert judgement to solve real-world challenges that impact our company, customers...

Associate Director –Trading Practices Compliance page is loaded## Associate Director –Trading Practices Compliancelocations: SG - SINGAPORE - 1 WALLICH STtime type: Full timeposted on: Posted Todayjob requisition id: JR\_ At Barings, we are as invested in our associates as we are in our clients. We recognize those who work diligently for us and reward...

1 year exp **Roles & Responsibilities** **Responsibilities**: - Conduct Customer Due Diligence reviews in accordance with AML requirements - Conduct Trade Surveillance and Transaction Monitoring reviews to identify any potential market misconduct/suspicious transactions - Assist in filing Suspicious Transaction Reports for any potential market misconduct...

At Barings, we are as invested in our associates as we are in our clients. We recognize those who work diligently for us and reward them for personal and professional integrity, communication skills, distinct competencies and expertise in specific strategies, ability to collaborate as a team member and true dedication to the interests of our clients.We thank...