Markets Compliance Officer

5 days ago


Singapore KS CONSULTING PTE. LTD. Full time

Our client is seeking a skilled and proactive Compliance Officer to join our client’s, Markets Compliance Team. This critical role involves monitoring regulatory changes, providing compliance advice, and executing 2nd line compliance controls to support our FICC business.

**Key Responsibilities**:

- **Regulatory Monitoring**: Track and evaluate regulatory changes affecting the FICC business and branch operations.
- **Compliance Advisory**: Advise front office colleagues on regulatory requirements relevant to FICC business.
- **Licensing Management**: Ensure the branch and employees maintain necessary licenses for business activities.
- **Desk Reviews**: Conduct compliance reviews of front office departments.
- **Training Delivery**: Lead Markets Compliance training sessions for Front Office and other departments.
- **Product Approval**: Review and approve new product approval requests.
- **Trade & Communications Surveillance**: Support the team with surveillance tasks, including investigating breaches.
- **Risk Assessment**: Perform annual Compliance Risk Assessments for the branch.
- **Project & Audit Support**: Assist with compliance projects, audits, and inspections.
- **Leadership Support**: Act as a deputy for the team lead during their absence.

**Qualifications**:

- **Education**: University degree.
- **Experience**: 5-8 years in Markets Compliance or related fields, specifically in Global Markets sales and trading.
- **Regulatory Knowledge**: Familiarity with Banking Act, Securities and Futures Act, Bluebook, FX Global Code of Conduct, and other MAS notices and guidelines related to FICC sales and trading.



  • Singapore XTX Markets Full time $120,000 - $200,000 per year

    The FirmXTX Markets is a leading algorithmic trading firm which uses state-of-the-art machine learning technology to produce price forecasts for over 50,000 financial instruments across equities, fixed income, currencies, commodities and digital assets. It uses those forecasts to trade on exchanges and alternative trading venues, and to offer differentiated...


  • Singapore XTX Markets Full time

    Overview XTX Markets is a leading algorithmic trading firm which uses state-of-the-art machine learning technology to produce price forecasts for over 50,000 financial instruments across equities, fixed income, currencies, commodities and digital assets. It uses those forecasts to trade on exchanges and alternative trading venues, and to offer differentiated...


  • Singapore Xtx Markets Pte. Ltd. Full time $150,000 - $250,000 per year

    The FirmXTX Markets is a leading algorithmic trading firm which uses state-of-the-art machine learning technology to produce price forecasts for over 50,000 financial instruments across equities, fixed income, currencies, commodities and digital assets. It uses those forecasts to trade on exchanges and alternative trading venues, and to offer differentiated...


  • Singapore XTX Markets Full time

    Overview XTX Markets is a leading algorithmic trading firm which uses state-of-the-art machine learning technology to produce price forecasts for over 50,000 financial instruments across equities, fixed income, currencies, commodities and digital assets. It uses those forecasts to trade on exchanges and alternative trading venues, and to offer differentiated...


  • Singapore CLSA Global Markets Pte Ltd Full time

    Senior Compliance Officer, Compliance Apply locations: Singapore Time type: Full time Posted on: Posted 4 Days Ago Job requisition id: JR Position Description The Senior Compliance Officer will report to the Head of Compliance Singapore and is a generalist role with the exciting opportunity to be given broad Compliance mandate which extends to a number of...


  • Singapore CMC MARKETS SINGAPORE PTE. LTD. Full time

    he position is based in Singapore and is responsible for assisting with the management of the compliance function (including AML/CTF & Financial Crime compliance) within the CMC Markets Singapore Invest Pte Ltd brokerage business for listed equities, exchange traded funds, futures and options. Key to the role is acting as the AML/CFT Officer for CMC Markets...

  • Compliance Officer

    1 week ago


    Singapore Schonfeld Full time

    Join to apply for the Compliance Officer role at Schonfeld Join to apply for the Compliance Officer role at Schonfeld The Role We are seeking to hire an exceptional Compliance Officer to join our Singapore office. This role will report into the Head of Compliance APAC, based in Hong Kong, and hold several critical profiles and responsibilities for the...


  • Singapore Link Compliance Full time

    **Responsibilities** - Create and execute social media strategies to increase the company's online presence. - Take ownership and spearhead the comprehensive strategy formulation and planning for online campaigns across the entire Domestic Promotions and Campaign team. - Offer guidance, direction, and supervision to both sitewide and category marketers. -...

  • Compliance Officer

    2 days ago


    Singapore DA FINANCIAL SERVICE (S) PTE. LTD. Full time

    **Responsibilities**: - Provide comprehensive compliance advisory support and guidance to both back and front office teams, ensuring adherence to relevant laws, regulations, and rules. - Conduct thorough compliance reviews and testing, encompassing areas such as trade surveillance, AML (Anti-Money Laundering), and BCS (Business Conduct Standards). -...

  • Compliance Officer

    5 days ago


    Singapore AETOS SUPPORT SERVICES PTE. LTD. Full time

    **About the role As a Compliance Officer, you will be responsible for - Ensuring the company complies with local and all internal policies and controls are adequate and adhere to the requirements set by local related regulatory. - Coordinating staff training and competence to ensure obligations are met including drafting and issuing supplementary training...