Compliance Executive

5 days ago

Singapore eFinancialCareers Sourcing Services Full time

**COMPANY OVERVIEW**

A fintech pioneer with decades of success, holding broker-dealer and capital markets services licenses in multiple jurisdictions through its subsidiaries. We are committed to empowering brokers, banks, asset managers, and fintech with scalable and innovative investment and trading solutions that enable access to a comprehensive network of global markets and multiple asset classes, making investment and trading accessible for all.. In addition, our comprehensive global trading ecosystem includes best-in-class execution, custody, and post-trade solutions.

**JOB PURPOSE**

Implement compliance framework comprising of policies, procedures, work products based on regulations of the Monetary Authority of Singapore and the Securities and Futures Act, (SFA) and monitor compliance through Compliance Monitoring Program.

**MAIN RESPONSIBILITIES**
- Review and update the Compliance policies and procedures manual, the Compliance monitoring program more particularly w.r.t. the MAS and SFA regulations applicable to the firm’s core business of agency brokerage including settlement and custody and ensure the manuals continue to remain aligned to the amendments to the rules and regulations done by the authorities from time to time.
- Perform regular compliance reviews and assessments as per the firm’s Compliance Monitoring Program (the CMP) and ensure over an annual period all reviews as per CMP are completed. Ensure regular reports (at least quarterly) are made to the Head of Compliance on the reviews and highlight breaches observed if any with recommendations.
- Develop an annual calendar of compliance as per applicable rules and regulations and identify the Companies staff responsible for submission of the requirements to the regulators/ exchanges. Ensure timely submission of the required returns with appropriate compliance reviews.
- Participate in introducing new products and services and assist management to obtain relevant licenses to offer the new products or services.
- Assist in regulatory reviews and liaise with regulators, auditors, clients concerning compliance matters.
- Advise management on compliance requirements which are business specific for introducing new markets/products, countries (APAC or otherwise) in areas of transactions, specific regulatory filings, etc.
- Review Due Diligence performed on counterparties (banks, custodians, executing brokers, FI counterparties) and recommend the counterparty onboarding from a risk and compliance perspective.
- Review client onboarding and provide approval/recommendation on onboarding including the Customer Risk Assessment Form.
- Review implementation of internal audit findings and recommendations related to compliance and compliance risk management.
- Review trade surveillance, transaction monitoring, asset movement and similar reports provided by other teams and notify compliance concerns to Head of Compliance.

**QUALIFICATIONS, EXPERIENCE, & SKILLS**:

- Bachelors/Masters degree in Finance, MBA, Accounting, CPA, CFA, or similar.
- ACAMS or similar qualification on AML
- **Min 3 years’ experience **of working in Compliance and MLRO function with a financial services firm broker dealer, investment bank, investment business firm.

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