Global electronic trading platform is seeking for a dedicated compliance manager to carry the associated responsibilities required by Monetary Authority of Singapore (MAS). The firms holds a Capital Markets Services Licence under the Securities and Futures Act (Cap.289) and is looking to expand the business in Singapore.
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Develop compliance policies & regulatory framework with respect to the business model, product and services offered
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Maintain and keep up-to-date the Compliance Procedure Manual, AML/CFT Framework, AML/CFT Risk Based Approach Policy, Personal Account Dealing Policy, Chinese Walls Guide and Conflict of Interest Policy
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Maintain and update outsourcing Policy and provide advisory to new business relationship setup/sub-accounts set-up on outsourcing related matters/queries in accordance with MAS Guidelines on Outsourcin
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Act as Data Protection Officer and provide advisory on PDPA related regulatory requirements to Senior Management, business and support units
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Interact with technology support and risk management to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation.
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Work closely with various internal departments including IT, Operations and Legal
Qualifications:
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6 – 8 years of proven experience, preferably in similar trading platform / broker-dealer compliance and control
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In-depth understanding of the SFA, SFR, SGX-ST Rules & relevant regulations and to apply this knowledge in a commercial environment
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Have a strong knowledge of the MAS and SEC regulations
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Knowledge of trading exchanges advantageous (e.g. OTC, derivatives contracts, capital computation etc.)
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Fully proficient in Mandarin, – write, read and speak fluently
If you are interested in this role, please apply below or contact me for more information.
N.B. this position is for candidate based in Singapore and we regret to inform that only shortlisted applicants will be notified. Referrals are greatly appreciated.
