Compliance Manager – Brokerage recruitment
The Company
My Client, a leading global Brokerage is looking for talented individuals to fuel the exciting expansion plans.
The Role
Working within the Compliance Department of a Global brokerage firm you will be responsible for compliance oversight of regulatory issues within the group. The role is based in Singapore and involves providing assistance to the Head of Compliance - Asia. This role requires a sound understanding of the business undertaken in alternative investment with particular emphasis on the Singapore regulated entities, as well as a sound understanding of alternative investment products including CFDs.
Your Profile
The candidate is required to play a key role in a number of activities including, Compliance Monitoring Program - undertake testing, prepare reports and prepare risk assessments pursuant to the Compliance Monitoring Program Singapore. Licensing - prepare and submit licensing forms, update CPT record and other related matters. Regulatory Developments - keep abreast of regulatory developments and provide regulatory updates to the business. Trading Surveillance and Oversight - assist in trade monitoring activities for the Singapore trading desk; and Assist the Head of Compliance - Asia in any ad hoc compliance project and any compliance work as an when requested.
Along with a degree, you should have at least 5 years' working experience with compliance or regulatory background. Independent, self-motivated, proactive, analytical and comfortable to work under pressure. Able to provide clear advice and express opinions strongly if necessary to both junior and senior employees. Excellent English communication skills, both written and spoken are necessary.
To Apply
Please send your resume, in WORD format and quote reference number SH8933, by clicking the apply button. Please note that only short-listed candidates will be contacted.