Singapore Job Openings

AMETHYST ASIA PARTNERS PTE. LTD.

Assistant Manager / AVP, Compliance ( Securities Trading / Brokerage Firm)

Singapore

FULL TIME

September 14, 2024

Our client is a regional securities brokerage firm that they provide fully integrated services to clients to access forex, futures, options, commodities, derivatives products etc. As the business continues to grow, they are looking for an Assistant Manager / AVP, Compliance. The role reports to Head of Compliance and it is based in Singapore


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
Key Requirements
  • 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
Interested parties please send your resume to Loretta Chan, R1876188 at Loretta@amethystasiapartners.com .

Regrettably, only shortlisted candidates will be contacted.
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