AVP - Regulatory Compliance (Securities)

Our client, a global leader in financial services, is seeking an AVP - Regulatory Compliance (Securities) to join their team in Singapore. This role offers the opportunity to work within a dynamic environment that is continuously growing. The successful candidate will have the chance to make a significant impact by assisting in all regulatory compliance within the organisation.

What you'll do:

As an AVP - Regulatory Compliance (Securities), your primary responsibility will involve establishing robust financial crime prevention measures, managing regulatory compliance across all local entities within the Group.

• Anticipating new regulatory requirements, performing compliance reviews, providing second-level monitoring of internal policies and procedures, and handling daily regulatory operations
• Responsible for licensed representatives’ licensing matters, reviewing advertising materials, providing advice on compliance policies relevant to company rules and regulations
• Responsible for daily regulatory and compliance operations such as daily exchange reporting and other periodic regulatory reporting

What you bring:

The ideal candidate for the AVP - Regulatory Compliance (Securities) role should bring along at least six years of relevant working experience in the brokerage/securities industry

• Familiar with the regulatory obligations of SFA/FAA regulations
• Working efficiently in a high volume, fast-paced environment

What sets this company apart:

Our client is a global leader in integrated logistics and financial services. They provide a fully-integrated service for their clients to access the financial and commodity derivative markets and are continuously expanding into key financial and commodity markets. This is an exciting opportunity to join a dynamic team that values collaboration, commitment, and understanding.

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