MERJE are supporting one of the biggest global names in the trading/broking space in their search for a dedicated Compliance specialist.
Responsibilities
You will manage regulatory compliance and reputational risks by ensuring adherence to laws and regulations, advising businesses (such as Derivatives, Retail CFDs), updating policies and procedures to comply with regulatory requirements, managing audits and inquiries, and conducting compliance reviews and testings.
- Providing detailed regulatory advice to the business
- Conduct compliance reviews, compliance testings, and trade surveillance related to the businesses
- Prepare licensing applications, regulatory submissions, regulatory research, management information and compliance reports
- Review marketing materials
- Assist in audits, investigations and queries from regulators and exchanges
- Manage compliance and reputational risks by ensuring adherence to laws and regulations
Requirements
- 3-5 years of experience in regulatory compliance in financial services or regulatory environment
- Working knowledge of Singapore FS regulations
- Ideally a good spread of product knowledge across derivatives (OTC and ETD), commodities, options, leveraged FX and CFDs
- Attention to detail, pro-active, hands-on approach to problem solving
