Singapore Job Openings
AMETHYST ASIA PARTNERS PTE. LTD.
Assistant Manager / AVP, Compliance ( Securities Trading / Brokerage Firm)
Singapore
FULL TIME
September 14, 2024
Key Responsibilities
- Assist the head of compliance to provide a full spectrum of Compliance scope includes regulatory compliance, trade surveillance, internal compliance policies and execution etc
- Liaise with regulators on regulatory filing, perform compliance reviews etc
- Review regular transaction monitoring from financial crime perspectives
- Monitor AML risk assessment for the firm and sanction compliance
- Review and execute compliance policies and procedures for the firm
- Update and advise the senior management on the compliance requirements to ensure the firm’s is aligned with regulatory standard
- Keep track of new regulatory requirements and update the internal stakeholders
- Assist in guiding junior team members and review their work
- Maintain the overall compliance team operations and participate in process improvement when necessary
- At least 5 years of Compliance experience in brokerage / securities trading / exchange / payment services / Asset Management industries
- Well-versed with regulatory requirements in brokerage / securities trading industry with the Securities and Futures Act
- Knowledge in other regulations is an advantage such as Commodity Trading Act, Payment Services Act, Exchange Regulations (e.g. CME, ICE, SGX etc)
- Familiar with AML/ KYC tools and financial crime prevention standards
- Bachelor’s degree in business or legal or other disciplines
Regrettably, only shortlisted candidates will be contacted.
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