Regional Senior Compliance Officer - Global Fintech Firm

Singapore Permanent
  • Excellent exposure and experience to different compliance disciplines
  • Highly successful global company

About Our Client

Our client is a highly successful global market platform that is currently investing in its activities in Asia, to match its successes in the West. The organisation is a component of the S&P 500 and has regional offices in the financial hubs of the world and is growing fast.

Job Description

  • Acting as the local compliance function for Asia business and its affiliates;
  • Key interface with relevant regulators regarding enquiries, examinations and reporting;
  • Supporting local management to ensure that they is fully aware of the regulatory and reputation risks affecting the Asia business.
  • Advising the business regarding its regulatory requirements in order to comply with applicable requirements
  • Ensuring that all Asia staff have received their compliance training
  • Conducting and co-ordinating risk-based monitoring reviews as part of the Compliance Monitoring Programme ('CMP'), both routine and thematic, to assess the extent the business complies with regulatory requirements and internal policies;
  • Helping to update the CMP following any changes to the business or market behaviour;
  • Tracking open issues whether to be completed by Compliance or other functions to ensure that stakeholders meet their targets;
  • Assisting with regulatory inspections or enquiries and coordinating responses with input from relevant stakeholders;
  • Advising the business regarding exceptional trade issues, settlement fails, customer enquiries, due diligence questionnaires or interpretation of our rule books or other compliance requirements.
  • Use of automated surveillance and assessment of surveillance alerts from the trading venues;
  • Overseeing KYC and AML reviews periodically per all clients, vendors and associated persons;
  • Managing client and dealer on-boarding and documentation and attendant enquiries;
  • Assisting with regulatory reporting to comply with the conditions of authorisation under the local national competent authority and applicable corporate laws;
  • Assisting with practical changes to accommodate new legal or regulatory requirements;
  • Ensuring local staff in Asia are aware of how the Asia business fits into the global regulatory framework and acting as a first point of contact for compliance queries;
  • Oversight of regulatory reporting to comply with the conditions of authorisation by Singapore and Hong Kong regulatory authorities and local corporate laws;
  • Monitoring changes to local regulations that may affect the regulated activities of the Asia business such as new laws, sanctions, enforcement action, guidance or consultation papers.
  • Advising the local sales team on the requirements for marketing, soliciting or providing access to our platform elsewhere in Asia (supported by legal advice);
  • Maintaining local compliance policies, procedures, records and general record-keeping (e.g. breach register, PA dealing notifications etc.);
  • Preparation of management information for executive committees, board of directors or other relevant stakeholders.
  • Assisting with filings for relevant corporate authorities and responding to their enquiries.

The Successful Applicant

  • Around 8 years or more experience of working in financial services compliance preferably in regulated electronic trading platforms, market infrastructure, surveillance/monitoring, or post-trade process such as regulatory reporting;
  • Strong verbal and written skills are essential for reporting writing, reporting, training and translating complicated topics into simple language for colleagues that are not familiar with regulatory language;
  • Local experience of Singapore MAS regulation in financial services is a necessity, in market structure or trading platforms.
  • Strong preference for someone who also has knowledge or experience of financial services regulation in Hong Kong and mainland China;
  • Proven experience of working in a small team and strong business acumen;
  • Fixed income experience is preferable but not essential;
  • Some infrequent travel to other offices required (e.g. Hong Kong)
  • Able to work under pressure and tight deadlines;
  • Must be able to demonstrate reliability, independence and take the initiative.
  • Excellent communication skills
  • Being able to actively engage with the business, answering questions and providing guidance.
  • Experienced user of office applications such as Word, Excel, Powerpoint and trade surveillance software (e.g. Scila, SMARTS). Other applications such as knowledge of CRM or other project planning tools (such as would an advantage,
  • Knowledge of UK/EU and/or US regulations.

What's on Offer

The role entails a very attractive remuneration package including variable components, comprehensive employee benefits and the ability to travel for exposure. It will also provide excellent exposure in the field of Compliance in leading financial markets for candidates looking to broaden their horizons.

Sam Lin
Quote job ref
Phone number
+65 6416 9949

Job summary

Banking & Financial Services
Compliance & Legal
What is your area of specialisation?
Financial Services
Contract Type
Consultant name
Sam Lin
Consultant contact
+65 6416 9949
Job Reference