Job Description

About Our Client
Founded 6 years ago, our client is a derivatives exchange regulated by the Monetary Authority of Singapore (MAS). Presently, it is the 3rd licensed derivatives exchange in Singapore. Led by a group of visionary leaders, the firm lists futures and other derivative products for a wide spectrum of global investors to manage their trading and price risks. It also offers innovative clearing and settlement services across multi-asset classes the exchange lists. In addition, it provides full suite of futures and options contracts, futures contracts covering both financial and commodity products.


This role ("Assistant Vice President" rank) entails supporting and reinforcing the compliance framework of the organisation, while reviewing and supporting activities of its clearing members.

Key responsibilities for this role include:

Regulatory Compliance

• Support development and strengthening of frameworks to promote a robust compliance culture within the organisation
• Support development and implementation of appropriate compliance policies and procedures and other governance related matters
• Assist in addressing non-compliance or regulatory breaches by supporting internal investigations as appropriate
• Assist in maintaining constructive and effective relationships with regulators

Member Supervision

• To support membership on-boarding and member\'s trading on-boarding
• Support Regular desk-top reviews of member submissions and interactions with members
• Prepare and support on-site inspection programmes

Market Surveillance

• Conduct market surveillance duties on day-to-day basis
• Investigate and close alerts on market activities
• Conduct periodic review of alert parameters

The Successful Applicant

• Degree in Finance, Accountancy or Business
• 3 or more year\'s experience in Regulatory Compliance in the securities brokerage industry
• Good communication and interpersonal skills, positive team player

What\'s on Offer
Our client is a local brokerage start-up and is offering a unique opportunity for candidates to be exposed to a wide scope of Compliance in the securities brokerage industry. This is an excellent opportunity if you enjoy covering various compliance aspects within a lean and flat working environment, are comfortable in a start-up environment, and enjoy working with institutional and corporate clients.

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