SG Head of Compliance, Global Brokerage Firm

Job Title: SG Head of Compliance, Global Brokerage Firm
Contract Type: Permanent
Location: Singapore, Singapore
Salary: Negotiable
Reference: YSW1007526_1526031632
Contact Name: Minal Vagal
Contact Email:
Job Published: May 11, 2018 17:40

Job Description

My client is a global brokerage firm setting up its offices in Singapore and seeking to make its first compliance hire in Singapore.

Reporting to the Global Head in London, 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.
  • To establish, review and update the relevant compliance policies as required by the MAS for a Capital Markets Services licensee.
  • Manage interactions with regulators for any regulatory notification, licensing, reporting, inspection and investigation.
  • Develop a compliance risk assessment process and implementing a robust compliance monitoring/desk review programme.

You should have at least 5 years of relevant compliance experience with another brokerage firm and be a subject matter expert in local regulations (in particular the CMS framework. Effective communication skills as well as ability to solve problems are essential to success

Singapore Employment Agency Licence No: 16S8069

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