Compliance Manager

2 weeks ago

Singapore IG Markets Full time $90,000 - $120,000 per year

Job Description

The Compliance Manager will be part of the Compliance Team in Singapore which has the primary responsibility to manage all regulatory and licensing obligations, compliance functions, as well as framework and controls, ensuring adherence to applicable rules and regulations.

The successful candidate will report into the Head of Compliance in Singapore and will work closely with the Global Compliance Team who will provide support in various areas.

Responsibilities

  • Keep abreast of regulatory changes and provide advises and guidance on necessary adjustments to business processes, to ensure stakeholders' knowledge and understanding are in adherence with all relevant regulations.
  • Develop and maintain internal control frameworks of policies and procedures in line with MAS expectations and best practices.
  • Carry out compliance monitoring programs and periodic compliance testing
  • Manage regulatory reporting requirements, audits, and ad-hoc regulatory requests.
  • Oversee and manage AML/KYC processes, trade surveillance, transaction monitoring, and market abuse prevention measures.
  • Participate in regulatory projects with local and global teams and provide compliance related inputs.
  • Ensure that the development of the compliance function is in line with the development of the business and the regulatory landscape.
  • Keep up to date on regulatory matters and inform key stakeholders.
  • Assist the Head of Compliance in various compliance projects and adhoc matters.
  • Provide support on other central compliance and licensing matters.

Profile of the Successful Candidates

  • At least 5 years of compliance experience in Capital Markets Service License environment, with preference for dealing with retail investors.
  • A well-developed knowledge of the Securities and Futures Act (SFA), Financial Advisers Act (FAA), MAS Notices & Guidelines, Exchange rules and other applicable regulations.
  • In-depth understanding of securities, collective investment schemes and OTC derivatives regulations.
  • Strong policy writing skills.
  • Proactive and self-driven individual who is able to effectively communicate, negotiate and influence others.
  • Able to work independently and make sound, well thought out business decisions.
  • Excellent communication and stakeholder management skills.
  • Highly analytical with strong problem-solving abilities.

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