Regulatory Compliance Executive

**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...

Head of Compliance My client, a well‑established investment management firm, is seeking an experienced Head of Compliance to lead the firm’s regulatory and AML function in Singapore. This role plays a pivotal part in ensuring robust governance, regulatory adherence, and ethical business conduct across the organization’s regional operations. Key...

Head of Compliance My client, a well‐established investment management firm, is seeking an experienced Head of Compliance to lead the firm's regulatory and AML function in Singapore. This role plays a pivotal part in ensuring robust governance, regulatory adherence, and ethical business conduct across the organization's regional operations. Key...

Bank of Singapore opens doors to new opportunities.At Bank of Singapore, we are constantly on the lookout for exceptional individuals to join our team. We promote a culture of openness, teamwork and fairness. Most importantly, we invest in our people through our programmes that develop them on both professional and personal levels. Besides attractive...

**Your team**: - The Compliance function is responsible for helping Pictet’s senior management manage the compliance risks faced by Pictet. This role will focus on the risks faced by Pictet’s Singapore bank, Banque Pictet & Cie SA, Singapore Branch (“BPSA SG”). The Compliance Officer will be part of the team that will provide regulatory advice to...

Regulatory Compliance Lead Contract/Permanent: Contract Start Date: ASAP Employment type: Contract Seniority level: Mid-Senior level Job function: Quality Assurance and Legal Industries: Oil and Gas Open to all locals and expats Experienced Regulatory Compliance Lead to manage and oversee all regulatory and compliance-related activities for a major offshore...

Regulatory Compliance Specialist – NETS This role is responsible for ensuring the company's adherence to all related and relevant compliance regulations. The incumbent will act as the compliance advisory for various departments and collaborate with them to ensure compliance with all applicable regulations while achieving the organization's goals....

**ROLES & RESPONSIBILITIES **1. Regulatory Affairs** - Understand relevant regulatory regulations, policies & procedures behind the company’s business activities and products - Ensure product and company’s compliance with regulations for maintenance of approvals - Maintain ISO and GDPMDS records, and work closely with the ISO/GDPMDS team to provide...

Job Responsibilities Regulatory Compliance & internal Reporting Perform tracking and recording of new regulations / regulatory updates / consultation papers daily. Identify new and revised local and BNM regulatory requirements and assess their applicability to HLBS and Head Office (HO). Communicate relevant new and updated regulatory requirements to impacted...

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...