Compliance Officer

6 days ago


Singapore Virtu Financial Full time

Virtu is a leading financial firm that leverages cutting edge technology to deliver liquidity to the global markets and innovative, transparent trading solutions to our clients. As a market maker, Virtu provides deep liquidity that helps to create more efficient markets around the world. Our market structure expertise, broad diversification, and execution technology enables us to provide competitive bids and offers in over 19,000 securities, at over 235 venues, in 36 countries worldwide.

The Virtu Legal and Compliance team is looking for an experienced, self-driven Compliance Officer to join the team. The Compliance Officer will play an important role in shaping Virtu's Compliance function through innovation, analytical thinking and a desire to improve upon existing processes. This role will require interest and ability to work across several Compliance areas, manage multiple deadlines and interact with internal and external stakeholders.

**Responsibilities**
- Works closely with key stakeholders in the business, operations, risk, technology and finance teams to ensure robust compliance policies and procedures are in place.
- Develop and perform surveillance and supervisory reviews.
- Conduct AML due diligence and respond to AML/KYC inquiries from third parties
- Respond to regulatory inquiries by gathering data, conducting stakeholder interviews and performing analyses to inform a narrative response.
- Perform regulatory review and reporting
- Drive compliance innovation initiatives with a focus on greater automation and increased efficiency.
- Communicate with regulators and other external parties (verbal and written) in connection with inquiries, exams, rule-making initiatives and outreach

**Experience & Qualifications**
- Bachelor's Degree or Commensurate Experience.
- Post-Graduate Degree a Plus.
- 2-4 years of experience with a financial services firm, Fin-Tech, regulator, audit firm or commensurate experience.
- Strong working knowledge of broker-dealer regulation, including securities and commodities laws, agency/client trading, the SFC, ASIC or MAS' capital markets regulations and guidance.
- Strong communication and interpersonal skills.
- Self-starter and team player who is comfortable working in a fast paced environment and a relatively flat organization.
- Familiarity with equities, options, fixed income, currency, commodities, futures, fx, swaps and forwards, crypto currencies.
- Knowledge of computer programming languages, database administration, and network architecture to assist with such matters as trade reviews and gathering data a plus.
- Trading and back office experience a plus.

**These qualifications are meant as a guideline and aren't minimum qualifications. We would love to hear from you regardless of whether you have all the experiences listed**
- Virtu Financial is an equal opportunity employer, committed to a diverse and inclusive workplace, welcoming you for who you are and does not discriminate on the basis of race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status._



  • Singapore CITIC CLSA Full time

    **Position Description** As a member of the Singapore Compliance team reporting to the Head of Compliance, Singapore, and with further support from head office, the incumbent will have the exciting opportunity to be given broad Compliance mandate which extends to a number of licensed entities in Singapore and multiple business lines, including,...

  • Compliance Officer

    2 weeks ago


    Singapore BLOCKFORT PTE. LTD. Full time

    Blockfort Pte Ltd is part of the Coinweb group, is expanding our Global compliance Team. The position is compliance officer, based in Singapore for Blockfort; you’re responsible for ensuring a company complies with its outside regulatory requirements and internal policies. In short, you're responsible for making sure that your employer plays by the rules...

  • Compliance Officer

    4 days ago


    Singapore NEBA PRIVATE CLIENTS PTE. LTD. Full time

    **Position**:Compliance Officer **Location**:Singapore **Industry**:Financial Services **Employment Type**:Full-time **About the Company**: NEBA Private Clients are a leading financial advisory firm in Singapore with offices around the world, committed to providing sound financial solutions to clients. We strive to uphold the highest standards of...


  • Singapore CLSA Full time $90,000 - $120,000 per year

    Position DescriptionThis is a 6-month contractual (potentially extendable) position for a period of maternity leave coverage. As a member of the Singapore Compliance team reporting to the Head of Compliance, Singapore, and with further support from head office, the incumbent will have the exciting opportunity to support multiple business lines across a...

  • Compliance Officer

    2 weeks ago


    Singapore ORIX INVESTMENT AND MANAGEMENT PRIVATE LIMITED Full time

    **Job description for Compliance Officer Compliance function and scope below: 1 Manage the compliance function with a direct reporting line to the Company MD and a dotted-line reporting to the Group Compliance Department in Japan head office. 2 Prepare and maintain compliance calendar for the function and ensure all due dates are adhered to. 3 Develop,...

  • Compliance Officer

    3 days ago


    Singapore Aetos Support Services Pte. Ltd. Full time

    **About the role** As a Compliance Officer, you will be responsible for - Ensuring the company complies with local and all internal policies and controls are adequate and adhere to the requirements set by local related regulatory. - Coordinating staff training and competence to ensure obligations are met including drafting and issuing supplementary training...

  • Compliance Officer

    6 days ago


    Singapore AETOS SUPPORT SERVICES PTE. LTD. Full time

    **About AETOS**: AETOS Capital Group Pty Ltd is a renowned Australian broker specializing in financial products trading services, provide retail and corporate clients with diversified financial derivative products including Margin Forex Contracts and CFD in Precious Metals, Indices, Commodities, Shares and Cryptocurrencies. **AETOS Support Services Pte Ltd...

  • Compliance Officer

    16 hours ago


    Singapore Non-disclosed Full time

    Compliance Officer - Associate / Assistant Manager Non-disclosed Singapore Apply now Posted 1 day ago In-Office Job Permanent $4k - $5k Compliance Officer - Associate / Assistant Manager Non-disclosed Singapore Apply now Dedicated investment management platform for providing global investors with a gateway to invest through differentiated alternative...

  • Compliance Officer

    2 weeks ago


    Singapore Formative Search Full time

    Our client is an law firm with main offices in Singapore, London, Paris, Hong Kong, etc. Area of expertise includes finance, marine and international trade, commercial litigation, etc. Our client is looking to hire a Compliance Officer, to play a key role in the Legal and Compliance team, supporting the Head of Compliance to identify and achieve compliance...

  • Compliance Officer

    3 days ago


    Singapore ZICO ASSET MANAGEMENT PTE. LTD. Full time

    Compliance Officer oversees and manages compliance issues within the company, advises Senior Management/Board on possible risks and informs on material violations, reviews the policies and procedures of the company, ensures that the company is in compliance with regulatory requirements and the employees are in adherence with internal policies and...