Compliance Executive

3 days ago

Singapore eFinancialCareers Sourcing Services Full time

**COMPANY OVERVIEW**

A fintech pioneer with decades of success, holding broker-dealer and capital markets services licenses in multiple jurisdictions through its subsidiaries. We are committed to empowering brokers, banks, asset managers, and fintech with scalable and innovative investment and trading solutions that enable access to a comprehensive network of global markets and multiple asset classes, making investment and trading accessible for all.. In addition, our comprehensive global trading ecosystem includes best-in-class execution, custody, and post-trade solutions.

**JOB PURPOSE**

Implement compliance framework comprising of policies, procedures, work products based on regulations of the Monetary Authority of Singapore and the Securities and Futures Act, (SFA) and monitor compliance through Compliance Monitoring Program.

**MAIN RESPONSIBILITIES**
- Review and update the Compliance policies and procedures manual, the Compliance monitoring program more particularly w.r.t. the MAS and SFA regulations applicable to the firm’s core business of agency brokerage including settlement and custody and ensure the manuals continue to remain aligned to the amendments to the rules and regulations done by the authorities from time to time.
- Perform regular compliance reviews and assessments as per the firm’s Compliance Monitoring Program (the CMP) and ensure over an annual period all reviews as per CMP are completed. Ensure regular reports (at least quarterly) are made to the Head of Compliance on the reviews and highlight breaches observed if any with recommendations.
- Develop an annual calendar of compliance as per applicable rules and regulations and identify the Companies staff responsible for submission of the requirements to the regulators/ exchanges. Ensure timely submission of the required returns with appropriate compliance reviews.
- Participate in introducing new products and services and assist management to obtain relevant licenses to offer the new products or services.
- Assist in regulatory reviews and liaise with regulators, auditors, clients concerning compliance matters.
- Advise management on compliance requirements which are business specific for introducing new markets/products, countries (APAC or otherwise) in areas of transactions, specific regulatory filings, etc.
- Review Due Diligence performed on counterparties (banks, custodians, executing brokers, FI counterparties) and recommend the counterparty onboarding from a risk and compliance perspective.
- Review client onboarding and provide approval/recommendation on onboarding including the Customer Risk Assessment Form.
- Review implementation of internal audit findings and recommendations related to compliance and compliance risk management.
- Review trade surveillance, transaction monitoring, asset movement and similar reports provided by other teams and notify compliance concerns to Head of Compliance.

**QUALIFICATIONS, EXPERIENCE, & SKILLS**:

- Bachelors/Masters degree in Finance, MBA, Accounting, CPA, CFA, or similar.
- ACAMS or similar qualification on AML
- **Min 3 years’ experience **of working in Compliance and MLRO function with a financial services firm broker dealer, investment bank, investment business firm.

eFCSoSe

  • Compliance Manager

    2 weeks ago

    Singapore Konfer Executive Group Full time

    Our client is looking for an experienced Compliance Manager to help support its growth by coordinating the creation, review and implementation of policies and procedures, established by the agencies that regulate the company. In this role, you will be responsible for managing and executing the compliance function in Singapore to support growth. Familiar...

  • Chief Compliance Officer

    3 hours ago

    Singapore Executive Access Full time

    You will be required to - Manage and implement all aspects of the firm's global compliance program, including an internal compliance team and third party compliance analysts. - Assessing and responding to time-sensitive compliance-related inquiries from the senior leadership team, the legal and compliance team, the investor relations team, the operations...

  • Chief Compliance Officer

    3 hours ago

    Singapore Executive Access Full time

    P- Posted by - Paul Zhong- Recruiter My client is an international private equity firm with global presence, due to expansion, they are seeking a senior director with expertise in SEC regulations and strong background working in Private Equity firms to join them in a Global Compliance role. Do note that this role is based in Singapore You will be required...

  • Compliance Manager

    2 days 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...

  • Regulatory Compliance, Private Banking

    3 weeks ago

    Singapore BTI EXECUTIVE SEARCH PTE. LTD. Full time

    Roles & ResponsibilitiesOur client is seeking an experienced Compliance professional to support the regulatory compliance function within their Private Banking business. The role focuses on ensuring adherence to relevant laws and regulations, particularly in anti-money laundering (AML), and contributing to the development of effective compliance...

  • Head of Legal and Compliance

    4 days ago

    Singapore DN & ASSOCIATES EXECUTIVE SEARCH PTE. LTD. Full time

    Based in the north of Singapore, our Client is an industrial powerhouse committed to delivering quality, cutting edge technologies to their customers worldwide. They are looking for a Head of Legal and Compliance to join them. You will oversee the Company’s business conduct in compliance to local & international law and regulations. Managing a team, you...

  • Compliance Executive

    3 hours ago

    Singapore KENSINGTON TRUST SINGAPORE LIMITED Full time

    **[Your Next Opportunity]** Are you passionate about regulatory compliance and keen to make a difference in an organization? As a Compliance Executive, you will play a vital role in ensuring that our operations comply with industry-specific regulations. You will be responsible for performing compliance assessments, conducting customer due diligence, and...

  • Regulatory Compliance, Private Banking

    5 days ago

    Singapore BTI EXECUTIVE SEARCH PTE. LTD. Full time

    Our client is seeking an experienced Compliance professional to support the regulatory compliance function within their Private Banking business. The role focuses on ensuring adherence to relevant laws and regulations, particularly in anti-money laundering (AML), and contributing to the development of effective compliance frameworks. Key Responsibilities:...

  • Compliance Executive

    4 days ago

    Singapore KENSINGTON TRUST SINGAPORE LIMITED Full time

    **[Your Next Opportunity]** Are you passionate about regulatory compliance and keen to make a difference in an organization? As a Compliance Executive, you will play a vital role in ensuring that our operations comply with industry-specific regulations. You will be responsible for performing compliance assessments, conducting customer due diligence, and...

  • Compliance Executive

    4 days ago

    Singapore KENSINGTON TRUST SINGAPORE LIMITED Full time

    **Your next opportunity** You will play a crucial role in assisting our organisation in maintaining regulatory compliance. Your responsibilities will encompass ensuring adherence to industry-specific and regulations, conducting compliance assessments, and collaborating with internal teams to implement best practices. This role offers an exceptional...