Compliance Associate/ Regulatory Compliance
1 day ago
We are seeking a Compliance Associate / Officer to join our client's growing team in Singapore. This expansion role is designed to strengthen their compliance function and ensure adherence to regulatory requirements, while supporting business growth across products such as Derivatives, Securities, and Retail CFDs. You will play a key role in managing regulatory compliance and reputational risks, advising stakeholders, updating policies, and handling regulatory interactions.
Key Responsibilities
- Provide compliance advice to business units including Derivatives, Securities, and Retail CFDs.
- Conduct compliance reviews, compliance testing, and trade surveillance.
- Prepare licensing applications, regulatory submissions, research, management information, and compliance reports.
- Review marketing materials, regulatory changes, and policies and procedures to ensure compliance with requirements.
- Advise front, middle, and back-office functions (Business, Finance, HR, Operations, Risk) on regulatory topics.
- Support audits, investigations, and queries from regulators and exchanges.
- Manage compliance and reputational risks by ensuring alignment with laws and regulations.
- 1 to 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.
- 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.
- Experience in Derivatives is a must.
- Attention to detail with a proactive, hands-on approach to problem solving.
- Agile mindset, collaborative spirit, and trustworthy team player.
- University degree in accounting, business, finance, law, or related fields.
- Professional compliance certification is an advantage.
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