Associate / Manager, Compliance

KGI Singapore; Singapore; On-site; SGD 120,000 - 180,000; Full time

Job summary

KGI Singapore seeks an Associate/Manager in Compliance to oversee regulatory advisory and surveillance within Singapore's financial market. The role emphasizes adherence to securities and futures laws, with responsibilities spanning advisory, surveillance, auditing, and policy updates.

The incumbent will engage with regulators and internal teams, deliver staff training, and ensure ongoing compliance programs align with SFA, FAA, and SGX-ST rules. This is a full-time on-site position in Singapore.

Qualifications

• Degree holder with strong regulatory know-how.
• Experience in financial markets compliance.
• Strong analytical and communication skills.
• Ability to organize and manage multiple priorities.

Responsibilities

• Provide compliance advisory to front and back-office operations.
• Conduct trade surveillance, AML reviews, and internal testing.
• Develop and maintain compliance programs, self-assessment questionnaires, and updated policies.
• Liaise with regulators and Head Office on reporting and findings.
• Train staff on regulatory requirements and internal policies.

Skills

Regulatory advisory

Trade surveillance

AML reviews

Policy development

Education

Bachelor's degree

Job description

Associate / Manager, Compliance

K

Organising Institution / Firm

Rolling Basis (Official)

Not Specified

Degree holder with minimum 5 years of relevant experience; familiarity with securities/futures market laws (SFA, FAA, SGX-ST Rules, etc.).

Jobs

Full Opportunity Brief

Contextual Overview

KGI Singapore, a leading multi-asset brokerage firm and member of the Singapore Exchange, is hiring an Associate/Manager for its Compliance department. This role focuses on regulatory advisory, trade surveillance, and ensuring organizational adherence to securities and futures trading laws within the Singaporean financial market.

Key Eligibility Criteria

• Degree holder.
• Minimum 5 years of relevant professional experience.
• Demonstrated familiarity with SFA, FAA, SGX-ST Rules, and Futures Trading Rules.
• Strong analytical, communication, and organizational skills.

Responsibilities & Scope of Work

• Provide compliance advisory and guidance to both front and back-office operations.
• Conduct trade surveillance, AML reviews, and internal compliance testing.
• Develop and maintain compliance programs, self-assessment questionnaires, and policy updates.
• Liaise with regulators and the Head Office regarding reporting and findings.
• Conduct staff training on regulatory requirements and internal policies.

Stipend, Compensation & Mode

Stipend: Not specified
Mode: Full-time, On-site