Compliance Manager (Securities Brokerage)

A leading financial services organisation in Singapore is seeking a Compliance Manager (Securities Brokerage) to join their dedicated team within the securities brokerage sector. This role offers you the opportunity to play a pivotal part in implementing and maintaining robust compliance frameworks, ensuring adherence to the Monetary Authority of Singapore (MAS) regulations and the Securities and Futures Act (SFA).

What you'll do:

As a Compliance Manager (Securities Brokerage), you will be responsible for overseeing critical aspects of regulatory compliance within the organisation’s core business operations.

• Your daily activities will involve conducting detailed account opening reviews for both clients and counterparties, ensuring that all onboarding procedures meet stringent anti-money laundering standards.
• You will provide expert guidance on KYC/sanctions screening matters across multiple departments, fostering a culture of collaboration and shared responsibility.
• By identifying risks or control weaknesses in workflows, you will contribute valuable insights towards process improvements.
• Automation projects will benefit from your input as you help streamline compliance procedures.
• Staying informed about evolving regulations is essential; you will interpret changes in MAS/SFA requirements and ensure timely updates to internal policies.
• Surveillance reviews form another key part of your remit—monitoring transactions and trades while reporting findings promptly.
• Regular assessments under the Compliance Monitoring Programme will keep you engaged with ongoing risk mitigation efforts.
• Your success in this role hinges on your ability to communicate effectively with stakeholders, maintain meticulous attention to detail, and uphold the highest standards of regulatory integrity.

What you bring:

Your proven track record as a Compliance Manager (Securities Brokerage) demonstrates your deep familiarity with MAS regulations governing capital market service licence holders.

• Bachelor’s degree or equivalent qualification in accountancy, finance or law is required for this position.
• ICA/ACAMS or similar certifications in AML/Compliance are highly desirable for demonstrating specialised knowledge.
• Proven experience handling regulatory requirements mandated by MAS for Capital Market Service Licence holders is essential.
• A general understanding of stock market regulations combined with domain knowledge of financial instruments such as equities, derivatives, mutual funds is expected.
• Minimum 2–3 years’ experience working in Compliance or MLRO functions within banking or finance industry—preferably with broker dealers, investment banks or asset management companies.
• Exceptional attention to detail paired with analytical reasoning abilities ensures accurate identification of risks or control weaknesses.
• Ability to work collaboratively across departments while maintaining healthy relationships with all stakeholders is vital.
• Understanding of financial services compliance requirements specifically for regulated businesses enhances effectiveness in this role.
• Hands-on approach coupled with willingness to support automation initiatives contributes positively towards process improvements.
• Excellent communication skills enable clear escalation of issues and effective advisory support across teams.

What sets this company apart:

This organisation stands out as a trusted leader within Singapore’s financial services sector thanks to its unwavering commitment to regulatory excellence and ethical business practices. Employees enjoy access to flexible working opportunities that promote work-life harmony without compromising professional ambition. Generous pension contributions reflect the company’s dedication to long-term employee wellbeing while comprehensive training programmes foster continuous learning and skill enhancement. Supportive leadership encourages open dialogue between teams so every voice is heard when shaping compliance strategies. The workplace culture emphasises inclusivity—ensuring all employees feel valued regardless of background—and nurtures talent through mentorship initiatives designed for personal growth. By joining this organisation, you become part of a network that shares knowledge freely while striving together towards common goals: upholding integrity in financial markets and protecting client interests at every turn.

What's next:

If you are ready to take your career forward by making a real difference in securities brokerage compliance within Singapore’s vibrant financial sector, we encourage you to apply now!

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