Job Description

About Our Client

Our client stands as a distinguished global financial services leader, specializing in securities and financial markets. Renowned for its significant share in Asia, the company operates with a unique advantage, providing clients with unparalleled access across major exchanges and cutting-edge technology-led services. This opportunity with our client presents a chance to contribute to and thrive in a dynamic and influential industry



Reporting to the global Head of compliance, the Regional Compliance Manager will be involved in the following :-

• Manage relationships with regulators and partners, and handle queries, clarifications, and address concerns arising from AML and compliance activities.
• Monitor new services and product launches to ensure compliance with existing legal and regulatory requirements and guidelines.
• Oversee routine and non-routine compliance monitoring and assurance activities, with a primary focus on Singapore operations.
• Provide expert advice on compliance matters, including new business initiatives, transaction structures, and regulatory activities.
• Maintain strong relationships with key APAC regulators, emphasizing collaboration with the Monetary Authority of Singapore.
• Collaborate with Legal, Compliance, and support function teams regionally and globally to address cross-jurisdictional compliance matters.
• Conduct corporate governance reviews as part of the Compliance Assurance Program.
• Ensure adherence to the company\'s regulatory requirements and contribute to the annual Compliance Risk Assessment Process.
• Lead internal and external audits of compliance and regulatory processes and procedures, respond to the results of the audits and assessments, remediate issues identified from the findings, and develop corrective action plans to implement.
• Create regular regulatory performance reports for the company, such as recommendations on strategy.

The Successful Applicant

To qualify, the candidate should meet the following criteria:-

• At least 5 years of compliance experience within the securities and brokerage industry

• Strong knowledge about the Singaporean regulatory landscape with a focus on SFA

• Excellent communicator with strong interpersonal and influencing skills.

• Strong stakeholder collaboration skills.

What\'s on Offer

Our client provides a unique opportunity in Singapore to help grow their regional footprint. This is a regional role offering good exposure and growth

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