Compliance Manager, Securities Trading
1 day ago
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 compliance, financial crime and compliance etc
- Liaise with regulators on regulatory filing and answer their enquires
- Review regular transaction monitoring from financial crime perspectives
- Monitor AML risk assessment for the firm and sanction compliance
- Review and execute compliance policies and procedures for the firm
- Update and advise the senior management on the compliance requirements to ensure the firm’s is aligned with regulatory standard
- Keep track of new regulatory requirements and update the internal stakeholders
- Maintain the overall compliance team operations and participate in process improvement when necessary
Key requirements:
- At least 6 years of Compliance experience in brokerage / securities trading / exchange / payment services industries
- Bachelor’s degree in business or legal or other disciplines
- Well-versed with regulatory requirements in brokerage / securities trading industry
- Familiar with AML/ KYC tools and financial crime prevention standards
- A good all-rounded experience in compliance
- Good communication and presentation skills
- Motivated, meticulous and mature
EA License Number: 20C0180| Registration no: R1876188
- ABOUT COMPANY
- Amethyst Partners
- Singapore
30 Employees Asset Management
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