Compliance Officer
Compliance Officer
ethos beathchapman- Posted 27 days ago
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Job Description
As part of its continued expansion, a growing securities brokerage and capital markets firm is looking for an experienced Compliance Assistant Vice President (AVP) generalist to assist in managing the firm's regulatory risk.
In this role, you will assist in the creation, implementation, and update of compliance policies and procedures, and participate in the firm's strategic projects and initiatives with other business units, including the new product approval process, providing regulatory and compliance advice. You will provide regulatory compliance advice to relevant business units, conduct transaction monitoring, trade surveillance, and e-communication surveillance across business lines, and review marketing materials to ensure adherence to regulatory requirements. You will also assist in coordinating internal and external audits, design and deliver compliance training, maintain the compliance and outsourcing register, and take on other duties as assigned.
The ideal candidate will possess a minimum of 5 years of demonstrated working experience in Compliance, with previous experience at a Capital Markets Services Licensee advantageous. Candidates should have knowledge of the Securities and Futures Act 2001, Financial Advisers Act 2001, Personal Data Protection Act 2012, and Singapore Exchange Regulations, along with an understanding of sales and trading products and practices.
If you're interested, please apply via the link or email your updated resume to [Confidential Information].
WP
Reg No. R2094093
BeathChapman Pte Ltd
Licence no. 16S8112
In this role, you will assist in the creation, implementation, and update of compliance policies and procedures, and participate in the firm's strategic projects and initiatives with other business units, including the new product approval process, providing regulatory and compliance advice. You will provide regulatory compliance advice to relevant business units, conduct transaction monitoring, trade surveillance, and e-communication surveillance across business lines, and review marketing materials to ensure adherence to regulatory requirements. You will also assist in coordinating internal and external audits, design and deliver compliance training, maintain the compliance and outsourcing register, and take on other duties as assigned.
The ideal candidate will possess a minimum of 5 years of demonstrated working experience in Compliance, with previous experience at a Capital Markets Services Licensee advantageous. Candidates should have knowledge of the Securities and Futures Act 2001, Financial Advisers Act 2001, Personal Data Protection Act 2012, and Singapore Exchange Regulations, along with an understanding of sales and trading products and practices.
If you're interested, please apply via the link or email your updated resume to [Confidential Information].
WP
Reg No. R2094093
BeathChapman Pte Ltd
Licence no. 16S8112
More Info
Key Skills
E-communication surveillance
Compliance policies and procedures
Compliance and outsourcing register
Trade surveillance
Internal and external audits
Regulatory compliance advice
About Company
Skills:
Aml, sanction PEP screening tools, SoW documentation standards, CDD, CFT compliance, Kyc, financial tax document verification, Transaction Monitoring, STR reporting procedures
Skills:
Aml, sanctions compliance, Screening, ICA, familiarity with MAS payment regulations, FATF, compliance policies and procedures, customer risk assessment, Wolfsberg sanctions regimes, enhanced due diligence, CTF, global AML standards, compliance quality assurance, CAMS, Transaction Monitoring, customer due diligence, payment regulatory compliance
Skills:
internal compliance training, compliance risk assessments, liaising with Singapore regulators, regulatory and compliance matters, payment services licences, compliance frameworks, payment services licensed institutions, Regulatory Submissions
Skills:
compliance monitoring , Regulatory experience, Microsoft Office Applications, SGX-ST rules, Securities and Futures Act, Trade surveillance, SMARTS Broker, Compliance audit
Skills:
Aml, KYB, Kyc, Transaction Monitoring, Compliance Frameworks, Singapore MAS Regulatory Framework, Cross-border Payments, Compliance Qualification, ICA, Payments, Financial-crime Risk Management, Payroll, CFT, Beneficial Ownership, E-money, ACAMS, Sanctions Screening, MLRO, financial crime