Compliance (Trade Surveillance), Securities Trading / Brokerage Firm

Our client is a regional securities brokerage firm that they provide fully integrated services to clients to access forex, futures, options, commodities, derivatives products etc. As the business continues to grow, they are looking for Senior Executive, Compliance and the role is based in Singapore. Key Responsibilities - Work as a team to provide...

L- Posted by - Loretta Chan- Director Our client is a securities trading / brokerage firm with a strong track record in the region. As the business continues to grow they are looking for a Compliance Manager and the role is based in Singapore. Key responsibilities: - Cover a full spectrum of Compliance scope includes regulatory compliance, internal...

QCP is Asia's leading digital asset partner, empowering clients to seamlessly integrate digital assets into their portfolios. We offer a comprehensive range of solutions - from spot on/off ramping and fixed income strategies to vanilla options and bespoke exotics. Driven by the vision to be the most trusted partner in digital asset markets, we provide...

**Responsibilities**: - Provide compliance updates/advice to the business related to securities trading/brokerage/fund management businesses - Perform KYC/AML and monitor client accounts, assist in client onboarding - Work closely with the senior management to liaise with regulators to ensure the regulatory requirements are aligned and properly enforced -...

S- Posted by - Suhani Malhotra- RecruiterExcellent opportunity to join a well-reputed international firm. The role sits within the Risk team in Singapore and has a direct reporting line to the International Head. The role will support in monitoring of trade activities and has an APAC coverage. The role will start off with monitoring of day to day...

Are you ready to take your career to the next level in the dynamic world of finance? Our client, a bank is seeking a Markets Compliance Officer to join their team, located on the bustling trading floor, where you'll play a crucial role. **Responsibilities Include: - Surveillance Expertise: Manage branch's trade and communications surveillance program,...

**About the Company** Gemini is a global crypto and Web3 platform founded by Cameron and Tyler Winklevoss in 2014, offering a wide range of simple, reliable, and secure crypto products and services to individuals and institutions in over 70 countries. Our mission is to unlock the next era of financial, creative, and personal freedom by providing trusted...

Excellent opportunity to join a well-reputed international firm. The role sits within the Risk team in Singapore and has a direct reporting line to the International Head. The role will support in monitoring of trade activities and has an APAC coverage. In terms of career progression this role will start off with monitoring of day to day transactions that...

Associate Director – Trading Practices Compliance Barings invites you to apply for the Associate Director – Trading Practices Compliance role in its Singapore Compliance business unit. The position focuses on day‑to‑day surveillance and oversight of the firm’s trading functions, the assessment of trading risk, and the enforcement of trading policy...

**Location**: Singapore, SG Job Function: Legal & Compliance **Job Type**: Permanent Req ID: 12961 **Legal and Compliance Department** The Legal and Compliance Department (LCD) manages the legal, regulatory and compliance risks for GIC, and partners with the business to ensure that legal, regulatory and compliance issues and risks are identified,...