
Compliance Associate/ Regulatory Compliance
1 week ago
About the Role
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 and reputational risks, advising stakeholders, updating policies, and handling regulatory interactions.
Key Responsibilities
- Provide compliance advice to business units including Derivatives, Securities, and Retail CFDs.
- Conduct compliance reviews, compliance testing, and trade surveillance.
- Prepare licensing applications, regulatory submissions, research, management information, and compliance reports.
- Review marketing materials, regulatory changes, and policies and procedures to ensure compliance with requirements.
- Advise front, middle, and back-office functions (Business, Finance, HR, Operations, Risk) on regulatory topics.
- Support audits, investigations, and queries from regulators and exchanges.
- Manage compliance and reputational risks by ensuring alignment with laws and regulations.
What We're Looking For
- 1 to 5 years of experience in regulatory compliance within financial services or a regulatory environment.
- Strong working knowledge of Singapore financial regulations.
- Willingness to collaborate with a diverse team, including professionals from regulators, banks, and law firms.
What Will Make You Stand Out
- Product knowledge in derivatives (OTC and ETD), leveraged FX, and CFDs, including compliance testing and trade surveillance.
- Previous experience in brokerage arms of banks or financial services firms.
- Attention to detail with a proactive, hands-on approach to problem solving.
- Agile mindset, collaborative spirit, and trustworthy team player.
Qualifications
- University degree in accounting, business, finance, law, or related fields.
Professional compliance certification is an advantage.
If you are passionate about compliance, thrive in a dynamic environment, and are eager to contribute to a collaborative and high-performing team, we'd love to hear from you. Please share your CV with
-
Singapore IQ EQ REGULATORY COMPLIANCE (SINGAPORE) PTE. LTD. Full timeManage 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 Manager
7 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...
-
Compliance Analyst
2 weeks ago
Singapore WAYSTONE COMPLIANCE SOLUTIONS (SINGAPORE) PTE. LTD. Full timeAssist in the implementation of check and balance processes and corporate governance standards as per the client type, strategy, mission, and goals of the regulated entity; - Assist in providing day-to-day support in the development, implementation, and maintenance of client’s compliance programs; - Assist in development and implementation of compliance...
-
Compliance Associate/ Regulatory Compliance
1 week ago
Singapore KS CONSULTING PTE. LTD. Full timeAbout the Role 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...
-
Associate, Regulatory Compliance
2 weeks ago
Singapore IQ-EQ Full time $80,000 - $120,000 per yearCompany 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 companies, family offices and private clients operating worldwide. Job DescriptionManage a portfolio of clientsProvide advisory and consultancy services to clientsSubmit and/or...
-
Associate, Regulatory Compliance
7 days ago
Singapore IQ-EQ Group Full timeOverview Join to apply for the 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 companies, family offices and private clients operating worldwide. Job...
-
Senior Associate, Regulatory Compliance
3 days ago
Singapore IQ-EQ Full timeSenior 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...
-
Compliance Officer/ Regulatory Compliance
1 week ago
Singapore KS Talent Solutions Full time $90,000 - $120,000 per yearWe 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...
-
Senior Associate, Regulatory Compliance
7 days ago
Singapore IQ-EQ Group Full timeHome Vacancies Senior Associate, Regulatory Compliance (Ongoing Compliance Services)Senior Associate, Regulatory Compliance (Ongoing Compliance Services)Job Description 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...
-
Senior Associate, Regulatory Compliance
3 days ago
Singapore IQ-EQ Group Full timeSenior 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...