Avp, Compliance (brokerage)
Singapore, Singapore
Job Description
Our client is a licensed broker providing one-stop online brokerage services. It is also a one-stop trading platform for cross-border investment options, as well as providing advanced technological tools for investors to better manage their investment portfolio.
Description
Reporting to the Head of Compliance, the AVP, Compliance will be involved in the following :-
- Conduct AML/KYC reviews for all new business and on an ongoing basis. This will include conducting enhanced due diligence (EDD) reviews on high-risk customers and AML/CTF investigations as appropriate.
- Implement, review as well as rolling out relevant policies, procedures and processes to ensure compliance with SFA & FAA requirements.
- Assist in performing annual AML/CFT enterprise risk assessment process and controls documentation to ensure risk are identified and mitigated and policies appropriately updated.
- Perform market surveillance transaction monitoring and communications surveillance.
To qualify, the potential AVP, Compliance should meet the following criteria :-
- At least 4 years of relevant compliance working experience within a brokerage.
- Strong knowledge in CMS rules and regulations.
- Good communication skills are critical to success in this position.
- Takes initiative to improve current state of things and adaptable to embrace new changes.
Our client is providing a unique opportunity in Singapore to help grow their footprint in the region. As this is a crucial role, remuneration and bonuses will be in line with market.
To apply online please click the \'Apply\' button below. For a confidential discussion about this role please contact Devan Nanthacumar on +65 6416 9879.
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Job Detail
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Job IdJD1373617
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IndustryNot mentioned
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Total Positions1
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Job Type:Full Time
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Salary:Not mentioned
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Employment StatusPermanent
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Job LocationSingapore, Singapore
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EducationNot mentioned