Our client is a leading Financial Services and Brokerage Firm based in Singapore and due to business expansion, they are looking for a Compliance leader to manage the options and futures brokerage business in Singapore. Candidates with relevant digital or fintech (crypto) experience will be a plus.
Responsibilities of the Role:
- In charge of oversight on all compliance matters across business operations with relevant legislation/regulations
- Provide advisory on compliance implications of business decisions, both for on-going issues and in project decisions Interpret and assess regulatory updates, and stay abreast of changes, advice and conducting training internally
- Liaise and coordinate with MAS on all reporting requirements and submission as well as addressing any queries
- Provide advice to business heads on new products and initiatives including all regulatory requirements
- Develop a proactive, integrated compliance approach and spearhead compliance culture within the enterprise Support management through the provisions and implementation of new policies
- Provide assistance in legal matters and liaise with external legal counsel Undertake additional functions and duties when required
- Leading the regulatory license application with MAS and providing compliance advisory to ensure adherence with relevant regulations
- Build and maintain strong framework of policies and procedures, AML framework and compliance trainings
- Establish and maintain effective relationship with MAS and relevant authorities
Requirements of the Role:
- Graduate with a degree from reputable universities
- A minimum of 10 years compliance experience within Compliance in a Brokerage house/ Capital Market and experience in digital or fintech (crypto) experience will be a plus
- Demonstrate experience in managing a small team
- Excellent communication and interpersonal skills Professional qualifications in Compliance will be an added advantage
- Strong knowledge of MAS, SFA, FAA requirements
- Oversight experience in compliance/ monitoring programs, or policy drafting experience would be an added advantage
- Self-motivated individual with excellent communication and stakeholder management skills
Company Reg. No.: 201131609D | Licence No.: 11C4684 | EA Reg No: R2196467
