Compliance Officer
Compliance Officer
ethos beathchapman5-7 Years
- Posted 13 days ago
- Be among the first 10 applicants
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:
Singapore payment services regulations, eKYC standards, AML CFT framework, Screening, CDD, Kyc, Transaction Monitoring, web 3 payment compliance, MAS notifications, STR submissions, regulatory correspondence
Skills:
compliance monitoring , Aml, staff compliance, MAS requirements, capital markets services licence, regulatory filings, risk-based compliance monitoring and testing, Funds Management, licensing issues, personal compliance, compliance training, Kyc, dealing in securities, cross-border distribution, Corporate Governance
Skills:
AML KYC regulatory frameworks, FATCA, mandatory reporting workflows, CRS, financial crime investigations, risk evaluations, regulatory inquiries, remediation initiatives, client onboarding workflows, Background Checks, Transaction Monitoring, Internal Audits, source of wealth verification, risk awareness training
Skills:
Customer due diligence (CDD), Enhanced due diligence (EDD), Aml, Sanctions Screening, AML risk assessments, Sanctions compliance, compliance training, Suspicious activity reporting, Singapore regulatory compliance, Transaction Monitoring, CFT, Regulatory Reporting, Crypto transaction monitoring tools, Blockchain analytics
Skills:
compliance monitoring , Microsoft Office Applications, SGX-ST rules, Securities and Futures Act, SMARTS Broker trade surveillance tool