Singapore Regulatory Compliance Officer

2 days ago

Singapore Nomura Asia Full time

**Job Title**:Singapore Regulatory Compliance Officer, Asia

**Corporate Title**:Associate

**Division**:Legal, Compliance & Conduct (LCC), Asia

**Department**:Compliance

**Location**:Singapore

**Job Type**:Permanent

**Company and Function Overview**

**Responsibilities**:

- Provide daily compliance support in the advice and review of local legislative and financial regulatory requirements (example - MAS IAC regime, MAS FRC framework), as well as local and regional compliance policies including those relating to, among others, cross border business activities, individual accountability and conduct, personal account dealing, gift and entertainment and code of conduct.
- Support interactions with the financial regulators including coordinating dissemination of regulatory notifications and surveys, as well as managing and coordinating enquiries, regulatory meetings, inspections and investigations.
- Work collaboratively with the team and internal stakeholders on the analysis and assessment of key financial regulatory developments, consultations or discussion papers.
- Serve as a point of contact for regulatory licensing matters of representatives in Singapore, and work closely with team members to ensure all conditions and obligations associated with such licenses are complied with.
- Support with the investigation, escalation and reporting of suspected or actual breaches of financial regulatory requirements, internal compliance policies and standards, or other misconduct matters.
- Prepare and/or coordinate submission of periodic or ad hoc regulatory returns.
- Develop, review, and maintain local compliance policies and procedures.
- Take on ad hoc projects and/or other regulatory compliance-related work.

**Job Requirements**:

- Degree or Diploma in Finance, Business or Law.
- Minimum 4 years' of compliance experience in banking, capital markets or audit.
- Good understanding of the Banking Act, Securities & Futures Act, Financial Advisers Act, as well as their subsidiary legislations including the relevant MAS notices and guidelines.
- Experience of interacting and managing relationship with local financial regulators, associations, and auditors.
- Proactive, able to work independently in a fast-paced environment, and manage multiple tasks concurrently.
- Ability to communicate effectively and confidently, and to build and maintain strong relationships with internal stakeholders.

  • Associate/ Senior Associate, Regulatory Compliance

    2 days ago

    Singapore IQ EQ REGULATORY COMPLIANCE (SINGAPORE) PTE. LTD. Full time

    Manage a portfolio of clients - Provide advisory and consultancy services to clients - Submit and/or review of regulatory filings and notifications - Liaise and correspond with MAS and auditors - Periodic compliance reporting to senior management or board of directors - Provide or review compliance manual - Provide or review compliance checklists, registers,...

  • Compliance Officer

    2 days ago

    Singapore Wise(formerly Transferwise) Full time

    **Office**: Singapore **Team**: Compliance Since 2011, Wise has had a clear mission: money without borders. Built by and for people who live global lives, we’re the fairest, easiest way to manage your money across borders. We’re just at the beginning of our story and we’re growing at an incredible pace. We won’t stop until anyone, anywhere can...

  • Compliance Officer

    2 days ago

    Singapore Wise Full time

    Since 2011, Wise has had a clear mission: money without borders. Built by and for people who live global lives, we're the fairest, easiest way to manage your money across borders. We're just at the beginning of our story and we're growing at an incredible pace. We won't stop until anyone, anywhere can send, spend and receive money wherever they are,...

  • Compliance Manager

    6 hours ago

    Singapore IQ EQ REGULATORY COMPLIANCE (SINGAPORE) PTE. LTD. Full time

    **Position Summary**: Support and assist IQEQ’s investment adviser client by providing regulatory compliance services through oversight of the execution and continuous improvement of the client’s compliance program, which meet the requirements of SEC Rules 206(4)-7 and 38a-1, including other state and federal securities laws and regulations. Update the...

  • Compliance Officer/ Regulatory Compliance

    2 weeks ago

    Singapore KS Talent Solutions Full time

    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...

  • Compliance Officer/ Regulatory Compliance

    2 days ago

    Singapore KS Talent Solutions Full time $90,000 - $120,000 per year

    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 Officer

    7 days ago

    Singapore PICTET Full time

    **Your team**: - The Pictet group is one of the world’s leading independent wealth and asset managers. Founded in 1805 and headquartered in Geneva, Switzerland, the Group is represented in 30 offices in financial centres worldwide, currently employing over 4600 people. Pictet has been present in Singapore for more than 25 years where it employs near 200...

  • Regulatory Compliance Officer

    4 days ago

    Singapore KS Talent Solutions Full time

    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 Officer

    6 hours ago

    Singapore Hays Full time

    **Your new company** My client is a reputable foreign bank looking to hiring a Regulatory Compliance Officer for to be based in Singapore **Your new role** As a MAS liaison officer, you be handling enquiries and RFIs, maintaining a communication register, engaging internal departments on regulatory compliance matters, perform sanity checks on regulatory...

  • Compliance, Regulatory Country Compliance – Affairs, Analyst, Singapore

    3 weeks ago

    Singapore GOLDMAN SACHS SERVICES (SINGAPORE) PTE. LTD. Full time

    OUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense,...