Compliance Associate

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,...

**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...

Job Description: Junior Compliance Associate - Regulatory and Core Compliance Position Title: Junior Compliance Associate Reports To: Head of Legal and Compliance Division: Regulatory and Core Compliance Location: Singapore Experience Level: Fresh Graduate or 1-2 Years Role Overview Tazapay is seeking a detail-oriented and motivated Junior Compliance...

Working for Financial Services firm in Singapore, you will be from either a bank or similar finacial company. Position: The role is working as claims administraiton associate looking after claims and sundry expenses for payments. Process payments and post payments as per monthly cycle Perform ad-hoc admin tasks as required Potential for growth and...

**Job Summary**: We are seeking a detail-oriented and motivated Compliance Associate to support our compliance team in ensuring the organization operates in accordance with legal and regulatory requirements. This entry-level role is ideal for recent graduates or individuals early in their compliance. **Key Responsibilities**: **CUSTOMER DUE DILIGENCE** -...

About the RoleWe 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...

We invite highly motivated professionals with relevant experience to join our team as **Compliance Associate / Senior.** As part of our compliance team, you will provide a comprehensive range of Governance, Risk management and Compliance (GRC) solutions aimed at assisting our clients in enhancing their overall GRC capabilities. - To support us in project...

Compliance Associate sought to assist the Wholesale Banking Asia Conduct Compliance and Culture (CCC) team, which focuses on managing risks relating to those arising from Market Conduct, Conflicts of Interest, Unfair Customer Treatment, Anti-Competitive Conduct, Data Protection, Data Retention, Regulatory Registration and Licensing.

1 year exp **Roles & Responsibilities** **Are you ready for a legal and compliance career with a global financial firm? Join Orient Futures Singapore as a Legal and Compliance Associate now.** Our business philosophy is continual innovation to stay ahead and relevant to provide premium brokerage services to all clients. In tapping on financial technology,...

Senior Associate, Regulatory Compliance (Ongoing Compliance Services)Join to apply for the Senior Associate, Regulatory Compliance (Ongoing Compliance Services)role at IQ-EQ Company Description IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global...