Compliance Lead: Regulation Advisory & Trading Oversight

KGI SECURITIES (SINGAPORE) PTE. LTD.; Singapore; Sur place; SGD 70 000 - 90 000; Plein temps

Résumé du poste

KGI SECURITIES (SINGAPORE) PTE. LTD. is seeking an Associate/Manager - Compliance Officer to provide guidance on regulations and ensure compliance with securities and futures laws. Responsibilities include conducting compliance reviews, developing programmes, and liaising with regulators.

The ideal candidate will have a degree and at least 5 years of relevant experience, strong communication skills, and the ability to work independently. Join an equal opportunity employer committed to compliance excellence.

Qualifications

• Minimum 5 years of relevant experience.
• Familiarity with securities and futures regulations.
• Meticulous and proactive attitude.

Responsabilités

• Provide compliance advisory support to back and front office.
• Conduct compliance reviews and testing including trade surveillance.
• Develop compliance review programmes and self-assessment questionnaires.
• Liaise with regulators and Head Office on major findings.
• Carry out staff training on regulatory requirements.

Connaissances

Compliance advisory support

Trade surveillance

AML

Regulatory requirements knowledge

Strong communication skills

Analytical skills

Formation

Degree holder

Description du poste

KGI SECURITIES (SINGAPORE) PTE. LTD. is seeking an Associate/Manager - Compliance Officer to provide guidance on regulations and ensure compliance with securities and futures laws. Responsibilities include conducting compliance reviews, developing programmes, and liaising with regulators.

The ideal candidate will have a degree and at least 5 years of relevant experience, strong communication skills, and the ability to work independently. Join an equal opportunity employer committed to compliance excellence.