Job Description

Our client is a regional securities brokerage firm that they provide fully integrated services to clients to access forex, futures, options, commodities, derivatives products etc. As the business continues to grow, they are looking for Senior Executive, Compliance and the role is based in Singapore.





Key Responsibilities


Work as a team to provide Compliance scope includes trade surveillance, regulatory compliance internal compliance policies and execution etc Conduct daily reviews of alerts generated by surveillance system Implement and maintain a trade surveillance oversight program Ensure trading activities are aligned with regulatory requirements Follow up on trade surveillance alerts and escalate when necessarily Assist in regulatory compliance reviews and reports Assist in reviewing and executing compliance policies and procedures for the firm Assist to provide advice on compliance policies and procedures Update and escalate salient issues to the compliance head Ad-hoc tasks related to compliance when necessary



Key Requirements


Around 4 years of Compliance experience in brokerage / securities trading / exchange / payment services / Asset Management industries Bachelor's degree in business or legal or other disciplines Relevant experience in Trade Surveillance Good knowledge in regulatory requirements in brokerage / securities trading industry with the Securities and Futures Act Motivated, meticulous, good communication skills

Interested parties please send your resume to Loretta Chan at loretta@amethystasiapartners.com

Regrettably only shortlisted candidates will be contacted


EA License Number: 20C0180| Registration no: R1876188