Our client is a regional securities brokerage firm that they provide fully integrated services to clients to access forex, futures, options, commodities, derivatives products etc. As the business continues to grow, they are looking for Senior Executive, Compliance and the role is based in Singapore.
Key Responsibilities
- Work as a team to provide Compliance scope includes trade surveillance, regulatory compliance internal compliance policies and execution etc
- Review daily trade surveillance alerts
- Ensure trading activities are aligned with regulatory requirements
- Assist in regulatory compliance reviews and reports
- Review regular transaction monitoring from financial crime perspectives
- Assist in reviewing and executing compliance policies and procedures for the firm
- Update and escalate salient issues to the compliance head
- Ad-hoc tasks related to compliance when necessary
Key Requirements
- Around 1 to 4 years of Compliance experience in brokerage / securities trading / exchange / payment services / Asset Management industries
- Bachelor’s degree in business or legal or other disciplines
- Relevant experience in Trade Surveillance
- Good knowledge in regulatory requirements in brokerage / securities trading industry with the Securities and Futures Act
- Knowledge in other regulations is an advantage such as Commodity Trading Act, Payment Services Act, Exchange Regulations (e.g. CME, ICE, SGX etc)
- Motivated, meticulous, good communication skills
Interested parties please send your resume to Loretta Chan, R1876188 at [email protected].
Regrettably, only shortlisted candidates will be contacted.
