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Compliance Manager

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An exciting opportunity has arisen for a seasoned Compliance Manager to join a leading brokerage/securities firm. This role offers the chance to work across multiple business lines, including institutional cash equities sales and trading, research, futures & options, Delta One & Equity Derivatives, fixed income sales and trading, wealth management, investment banking (M&A, ECM & DCM) and asset management businesses.

What you'll do:

As a Compliance Manager, you will be responsible for executing the ongoing Compliance Monitoring Programme, conducting regular reviews based on emerging risks or new regulatory requirements. Your role will also involve managing the MAS licensing and SGX registration process for new front office staff. You will handle requests and queries from regulators/auditors, ensuring that all compliance correspondences are duly tracked and maintained. Additionally, you will conduct compliance induction training for all new staff members. Your role is crucial in assisting with compliance reporting to both local and group management.

  • Maintain and execute the ongoing Compliance Monitoring Programme
  • Conduct Compliance desk reviews/thematic reviews based on emerging risks or new regulatory requirements
  • Manage the MAS licensing and SGX registration process for new front office staff
  • Handle simple requests and queries from regulators/auditors
  • Ensure all Compliance correspondences/records and registers are duly tracked and maintained
  • Conduct Compliance induction trainings for all new staff and other basic trainings as required
  • Assist with Compliance reporting to local and group management

What you bring:

The ideal candidate for this role is someone who brings a wealth of experience in compliance within financial services or a big 4 audit firm. Your understanding of the Securities and Futures Act and SGX-ST rules is essential for this role.

  • 8-10 years of experience in Compliance (excluding AML), Financial Services Regulatory Compliance in a big 4 audit firm, or with a securities regulator
  • Excellent analytical skills and quick logical thinking ability
  • Strong interpersonal skills
  • Good writing and presentation skills
  • Proficient understanding and application of the Securities and Futures Act and SGX-ST rules

What sets this company apart:

Our client is a leading global investment bank with an extensive footprint across Asia, Australia, Europe and the Americas. They provide global investors and corporate executives with insights, liquidity and capital to drive their growth strategies. Their award-winning research, innovative products and services in asset management, corporate finance, equity and debt capital markets, securities and wealth management set them apart from their competitors.

Do note that we will only be in touch if your application is shortlisted.
Robert Walters (Singapore) Pte Ltd
ROC No.: 199706961E | EA Licence No.: 03C5451
EA Registration No.: R22105333 Nur Humaira Binte Jamall Abd Nassir

Contract Type: FULL_TIME

Specialism: Banking & Financial Services

Focus: Compliance

Industry: Banking

Salary: Negotiable

Workplace Type: On-site

Experience Level: Mid Management

Location: Singapore

Job Reference: 5MG4RA-4E4B944D

Date posted: 27 May 2024

Consultant: Maira Jamall (R22105333)

Phone number: +65 6228 0237


Maira Jamall (R22105333)

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