Position
Compliance Officer | Capital Markets


Recruiter
Selby Jennings


Location
Singapore


Salary
Competitive


Date
06 December 2016


Apply now
Our client is a global award-winning brokerage firm and they are seeking a high calibre individual to take on the role of Compliance Officer to be based in Singapore. This compliance role manages and oversees the compliance function of the Singapore office and reports to the Head of Compliance for APAC. They have offices in America, Europe and Asia. The company provides attractive bonuses and benefits and has flexible working arrangements. You get the opportunity to manage the end-to-end compliance process and be part of a dynamic Singapore team.

Our ideal compliance candidates should possess the following:

5-7 years of compliance related experience - experienced candidates will be considered for a senior role

Compliance experience in capital markets, brokerage and securities, banks, funds and related financial sectors

Good working knowledge of local regulations

Experience dealing with MAS regulators

Excellent communication skills

Works well independently

The main responsibilities for the Compliance

Officer with the firm is to:

Develop and implement compliance policies and operations

Set up a formal structure within the Compliance Department

Deal with the breach of regulations and policies and advise on investigative plan

Conduct daily monitoring of compliance activities

Identify areas of vulnerability in compliance and formulate plans to resolve it

Keep the board and management updated on compliance issues, advise them on compliance matters and provide timely reports

Draw up a comprehensive compliance training program to train new and existing staff

Liaise with regulatory bodies and prepare report submissions


Features
The latest features from Asset Servicing Times
As the capital markets have changed, so too has the relationship between the buy and sell sides. Mark John of BNY Mellon’s Pershing explains
Asset managers are increasingly relying on data, and the service providers that can manage it, heard attendees at London’s TSAM conference
Join Our Newsletter

Sign up today and never
miss the latest news or an issue again

Subscribe now
As the long-standing Barclays Point risk analytics solution winds down to retirement, investment managers have some tricky decisions to make, according to Confluence’s Katie Kiss
As they face increasing demands from clients and regulators alike, fund administrators could be best off leaving back-office technology upgrades to the professionals, according to Kelly Ashe of Pacific Fund Systems
In the search for alpha, appointing an investment fund and a management company can bring myriad benefits, says Eduard von Kymmel of VP Bank
Fund distribution is entering the digital age, and so can traditional service providers. Fundsquare’s Paolo Brignardello explains
Blockchain may be the talk of the town, but before the industry starts moving ahead, it has to figure out in which direction it will go
Technology is changing the way we live, work and invest. Experts discuss how transfer agency is reacting as the movement gathers pace
View features section
Country profiles
The latest country profiles from Asset Servicing Times
The Asian market may be improving on the harmonisation front, but the situation is still far from ideal. Experts discuss what there is still left to do
Brazil is hogging the limelight from its South American neighbours. But, although reforms are in full swing, there is still work to be done
Securities Lending Times

Visit our sister site
for all the latest securities lending news and analysis

securitieslendingtimes.com
No nation is an island, and the Polish CSD has post-trade services to cater to all of Central and Eastern Europe, says KDPW’s Iwona Sroka
In a region as geographically, culturally and economically diverse as Asia, funds passports have a tricky road ahead if they’re to redefine the industry
Amid cross-border restrictions and tightened belts, Luxembourg’s kingdom of real estate investment won’t be crumbling any time soon
The Chinese market has taken a knock to its confidence, but despite its size, it is still merely an emerging market, and must take these setbacks in its stride
Rich in sunshine, cork hats and tired clichés, Australia’s funds industry doesn’t buck the trend, boasting record levels of assets under custody
As the Saudi Arabian stock exchange finally opens its doors to foreign investments, the influx from abroad will be in baby steps, not leaps and bounds
View country profiles section
Interviews
The latest interviews from Asset Servicing Times
Payments service providers in Europe, and around the world, would be wise to get set for PSD2. Deutsche Bank’s Shahrokh Moinian explains
Real Estate Investment Times

Visit our sister site
for all the latest real estate investment news

realestateinvestmenttimes.com
View interviews section