Consultant Gavin Izon (R1659143)
Date posted 24 April 20192019-04-25 2019-06-23 financial-services 6 Battery Road Singapore 049909 Robert Walters
A new and exciting job opportunity to join a growing brokerage as a Compliance Officer in Singapore. This is a global firm with a strong international presence looking to expand in Asia and would be a great time to join the firm on their journey.
About the Compliance Officer Role:
In this business critical role, you will be providing regulatory support such as managing licensing, reporting and conduct requirements for the business.
- Perform compliance reviews of the firm's marketing materials, product-related documents and client correspondence for use in Singapore and other Southeast Asia markets
- To undertake monitoring reviews as and when required by the firms risk-based compliance monitoring program
- Perform AML and sanctions checking
- Providing compliance advisory on outsourcing arrangements
- Conduct in-house training for staff e.g. anti-money laundering, staff personal dealing, licensing, regulatory requirements etc
- Assist in the planning and execution of Compliance Monitoring Program and prepare reports to management/ stakeholders regarding the recommendations made from the review findings
- To take a proactive lead in ensuring that all relevant persons understand and are informed of changes or new regulatory requirements in Singapore promptly
To succeed in this role, you must have strong understanding of Singapore Financial Crime legislation and regulatory expectations.
- At least five years' working experience in compliance and/or audit in financial services industry, preferably with Brokerage background
- Degree level education – Degree level education or comparable regulatory and commercial experience
- Compliance qualifications
- Knowledge of the Securities and Futures Act and its relevant regulations and notices, in particular relating to Capital Markets Services License to conduct the regulated activity of Dealing in Securities, leveraged FX trading or trading in futures contracts
- Confident, self-motivated, resourceful and able to take initiative and work autonomously
- Ability to work under pressure with good organisation and time management skills
- Knowledge of MAS Regulations with regard FX, OTC Derivatives
This firm was founded by some of the industry’s most experienced and talented IT developers and entrepreneurs. Their goal today remains the same as when we set up the company – to provide institutional clients with all the technology solutions they require to offer an exemplary service to their clients.
They have built an impressive portfolio of easy to use, highly sophisticated products including multiple white label front end platforms, back office administration, risk management and pricing tools. Their technological capabilities combined with our customer-centric approach to business has helped us to attract a client base consisting of many of the most prestigious and fastest growing FX and CFD brokerages, banks, proprietary trading houses and hedge funds.
If you have the above skills and experience and are keen to take the next step in your career with a growing organisation, this is the role for you.
Apply today or drop me an email to start a conversation.
Robert Walters (Singapore) Pte Ltd
ROC No.: 199706961E | EA Licence No.: 03C5451
EA Registration No.: R1659143 Gavin Izon