Compliance Officer
Compliance Officer
ethos beathchapman5-7 Years
- Posted 19 hours ago
- Be among the first 10 applicants
Job Description
As part of its continued expansion, a growing securities brokerage and capital markets firm is looking for an experienced Compliance Assistant Vice President (AVP) generalist to assist in managing the firm's regulatory risk.
In this role, you will assist in the creation, implementation, and update of compliance policies and procedures, and participate in the firm's strategic projects and initiatives with other business units, including the new product approval process, providing regulatory and compliance advice. You will provide regulatory compliance advice to relevant business units, conduct transaction monitoring, trade surveillance, and e-communication surveillance across business lines, and review marketing materials to ensure adherence to regulatory requirements. You will also assist in coordinating internal and external audits, design and deliver compliance training, maintain the compliance and outsourcing register, and take on other duties as assigned.
The ideal candidate will possess a minimum of 5 years of demonstrated working experience in Compliance, with previous experience at a Capital Markets Services Licensee advantageous. Candidates should have knowledge of the Securities and Futures Act 2001, Financial Advisers Act 2001, Personal Data Protection Act 2012, and Singapore Exchange Regulations, along with an understanding of sales and trading products and practices.
If you're interested, please apply via the link or email your updated resume to [Confidential Information].
WP
Reg No. R2094093
BeathChapman Pte Ltd
Licence no. 16S8112
In this role, you will assist in the creation, implementation, and update of compliance policies and procedures, and participate in the firm's strategic projects and initiatives with other business units, including the new product approval process, providing regulatory and compliance advice. You will provide regulatory compliance advice to relevant business units, conduct transaction monitoring, trade surveillance, and e-communication surveillance across business lines, and review marketing materials to ensure adherence to regulatory requirements. You will also assist in coordinating internal and external audits, design and deliver compliance training, maintain the compliance and outsourcing register, and take on other duties as assigned.
The ideal candidate will possess a minimum of 5 years of demonstrated working experience in Compliance, with previous experience at a Capital Markets Services Licensee advantageous. Candidates should have knowledge of the Securities and Futures Act 2001, Financial Advisers Act 2001, Personal Data Protection Act 2012, and Singapore Exchange Regulations, along with an understanding of sales and trading products and practices.
If you're interested, please apply via the link or email your updated resume to [Confidential Information].
WP
Reg No. R2094093
BeathChapman Pte Ltd
Licence no. 16S8112
More Info
Key Skills
E-communication surveillance
Compliance policies and procedures
Compliance and outsourcing register
Trade surveillance
Internal and external audits
Regulatory compliance advice
About Company
Skills:
Microsoft Excel, Actimize, Nasdaq SMARTS, Report Writing, Derivatives trading, Trade surveillance, Market conduct surveillance, Regulatory Compliance
Skills:
regulatory correspondence, eKYC standards, AML CFT framework, Screening, CDD, Kyc, compliance culture, Transaction Monitoring, STR submissions
Skills:
Aml, sanction checks, CFT, Kyc, Transaction Monitoring, Financial Security, PEP screening
Skills:
Aml, regulatory reviews, CFT, Kyc, Training, client due diligence, Internal Audits, compliance guidance, Regulatory Requirements, compliance policies and procedures
Skills:
compliance management systems , Corporate Governance Risk Management, Reporting Analytics, Data Privacy and PDPA regulations, Diversity Equity Inclusion requirements, Regulatory Legal Compliance, Macroeconomic Labour Market Analysis, Policy Development Compliance Training, Employment and Labour Law, Equal Employment Opportunity EEO Compliance Reporting, Equal Employment Opportunity EEO regulations, Internal Controls and Risk Management, Corporate Governance standards