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AVP/VP Compliance, Trading Firm

Job Title: AVP/VP Compliance, Trading Firm
Contract Type: Permanent
Location: Singapore, Singapore
Industry:
Salary: competitive benefits
Reference: YSW109898_1596081885
Contact Name: Minal Vagal
Contact Email: mvagal@profileasia.com
Job Published: July 30, 2020 12:04

Job Description

An online trading firm is looking to hire 2 compliance professionals at AVP/VP grade to report to the Global Head of Risk & Compliance and help in CMS license application. You will be responsible for the following

  • Assume the day-to-day Compliance control function and ensure that the business operates in compliance with relevant legislations/regulations,
  • Provide compliance advice to the business on ongoing business as well as new products.
  • Monitoring and surveillance of guidelines which includes setting up & maintaining the rules and watchlist.
    Advising and providing comments for new and existing mandates in terms of review and media advertisements
  • Develop a compliance risk assessment process and implementing a robust compliance monitoring/desk review programme.
  • You will keep abreast of regulatory developments and identify AML risks and control weakness and provide recommendations to resolve the issues

You should have at least 6 years of relevant compliance experience with another brokerage firm/CMS licensed fund manager. Experience with startup environment is an advantage. Effective communication skills as well as the ability to solve problems are essential to success.

Singapore Employment Agency Licence No: 16S8069

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