About Our Client Founded 6 years ago, our client is a derivatives exchange regulated by the Monetary Authority of Singapore. Led by a group of visionary leaders, the firm lists futures and other derivative products for a wide spectrum of global investors to manage their trading and price risks. It also offers innovative clearing and settlement services across multi-asset classes. In addition, it provides a full suite of futures and options contracts covering both financial and commodity products. Job Description This role entails supporting and reinforcing the compliance framework of the organisation, while reviewing and supporting activities of its clearing members. Key responsibilities include: Regulatory Compliance Support development and strengthening of frameworks to promote a robust compliance culture within the organisation Support development and implementation of appropriate compliance policies and procedures and other governance related matters Assist in addressing non-compliance or regulatory breaches by supporting internal investigations as appropriate Assist in maintaining constructive and effective relationships with regulators Member Supervision To support membership on-boarding and member's trading on-boarding Support Regular desk-top reviews of member submissions and interactions with members Prepare and support on-site inspection programmes Market Surveillance Conduct market surveillance duties on day-to-day basis Investigate and close alerts on market activities Conduct periodic review of alert parameters The Successful Applicant Degree in Finance, Accountancy or Business 2 or more years' experience in Regulatory Compliance in the securities brokerage industry Good communication and interpersonal skills Proficiency with Microsoft Excel would be highly advantageous What's on Offer Our client is a local brokerage start-up and is offering a unique opportunity for candidates to be exposed to a wide scope of Compliance in the securities brokerage industry. This is an excellent opportunity if you enjoy covering various compliance aspects within a lean and flat working environment, are comfortable in a start-up environment, and enjoy working with institutional and corporate clients.
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