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Compliance Officer - Securities Brokerage

Singapore Permanent SG$8,000 - SG$10,000 per year View Job Description
This role entails managing the Regulatory Compliance aspects of the organisation, which includes advisory, policies and audits.
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  • Flat and conducive startup environment
  • Technology driven growth

About Our Client

Our client is a well-known Securities Brokerage firm that leverages cutting edge technology to provide innovative solutions for their clients. They are strongly backed by numerous large institutional investors and are expanding globally.

Job Description

  • Providing regulatory compliance advice to assigned business and support functions.
  • Developing and maintaining a professional and high-level compliance culture by establishing and implementing company policies, procedures, and regulatory frameworks.
  • Conducting ongoing compliance testing on policies and procedures.
  • Advising and assisting the Business in handling customer complaints and liaising with regulators.
  • Assisting in internal and external audits, regulatory inspections, providing secretarial support for Risk and Compliance Committees.
  • Assisting with the annual compliance work plan and conducting compliance testing, assessment, and reviews on the business and outsourced service provider.
  • Keeping abreast of regulatory changes, maintaining compliance registers, monitoring key regulatory obligations, managing new regulatory changes, and updating policies/procedures to comply with regulatory requirements.

The Successful Applicant

  • Degree in Banking, Accounting, Finance or related field
  • 5 or more years of Compliance experience in a capital market services intermediary or regulator.
  • Good understanding of the SFA, SFR and relevant regulations.
  • Strong attention to detail, analytical skills, and ability to prioritise tasks.
  • Ability to embrace ambiguity and effectively prioritise tasks in a fast-paced environment.



What's on Offer

This role provides an excellent opportunity to be part of a growing firm that harnesses a technology driven strategy, to be able to work with cutting edge systems and software for Compliance related activities.

Contact
Sam Lin (Lic No: R22105925 / EA No.: 18S9099)
Quote job ref
JN-082024-6521779
Phone number
+65 6541 9949

Job summary

Function
Banking & Financial Services
Specialisation
Compliance & Legal
What is your area of specialisation?
Financial Services
Location
Singapore
Contract Type
Permanent
Consultant name
Sam Lin (Lic No: R22105925 / EA No.: 18S9099)
Consultant contact
+65 6541 9949
Job Reference
JN-082024-6521779

Diversity & Inclusion at Michael Page

We don't just accept difference - we celebrate it. We encourage applicants from all backgrounds to apply for this role and are committed to building inclusive, diverse workplaces where everyone can thrive. If you require any support or reasonable adjustments during the recruitment process, please let us know.