Compliance Officer | Capital Markets

Selby Jennings



06 December 2016

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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

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