Compliance Manager/ AM / Financial Institutions/ Securities Brokerage (REF:TYL)

TRUST RECRUIT PTE. LTD.; Singapore; On-site; SGD 60,000 - 90,000; Full time

Job summary

A leading company in Singapore is seeking a Compliance Officer to oversee regulatory compliance, financial crime prevention, and incident management. The ideal candidate will possess a degree in a related field with at least 5 years of experience in compliance, particularly within the brokerage sector. Responsibilities include advising stakeholders on regulatory obligations, managing compliance operations, and ensuring adherence to MAS regulations. This challenging role requires strong analytical, communication, and organizational skills in a dynamic environment.

Qualifications

• Minimum 5 years of experience in compliance, preferably within the brokerage industry.
• Familiarity with MAS regulations (SFA, FAA, SF(LCB)R, FAR).
• Strong written and verbal communication skills.

Responsibilities

• Monitor and assess regulatory developments for compliance.
• Develop and maintain AML/CFT and sanctions policies.
• Investigate trade surveillance alerts and manage compliance incidents.

Skills

Regulatory Compliance

Financial Crime Prevention

Incident Management

Analytical Skills

Verbal Communication

Written Communication

Education

Degree in Business, Accountancy, Finance or a related field

Tools

Microsoft Office

Job description

The Team:

The Compliance Team is responsible for second-line governance and oversight of regulatory and financial crime risks, covering both existing and new business activities. The team works closely with internal departments and legal counsel to ensure adherence to MAS regulations, exchange requirements, and internal policies.

Key Responsibilities:

In this role, you will report to and support the Head of Compliance. Your responsibilities will include:

1. Regulatory Compliance & Advisory

• Monitor, interpret, and assess the impact of new or updated regulatory developments (e.g., MAS SFA, FAA, SF(LCB)R, FAR, exchange rules).

• Draft, review, and maintain compliance policies and procedures to ensure regulatory alignment.

• Oversee the compliance calendar and coordinate timely regulatory submissions and reporting.

• Advise internal stakeholders on regulatory obligations, including conduct matters and policy compliance.

Review and approve marketing and advertising materials for regulatory compliance.

2. Financial Crime Prevention

• Develop and maintain AML/CFT and sanctions policies, systems, and processes in accordance with regulatory requirements.

• Conduct transaction monitoring and analysis to identify suspicious or unusual activities.

• File Suspicious Transaction Reports (STRs) where appropriate and maintain records of internal assessments.

• Support AML/CFT-related reviews, screening alerts, and due diligence efforts.

3. Surveillance & Monitoring

• Investigate trade surveillance alerts and follow up with relevant departments as needed.

• Monitor fund movements and escalate unusual transactions for further review.

• Perform second-line monitoring of compliance with internal policies and controls

4. Conduct & Incident Management

• Manage and follow up on matters related to Code of Conduct breaches, errors, internal complaints, and incidents (in coordination with HR, where required).

• Assist in handling customer complaints and ensure appropriate escalation and resolution processes are in place.

5. Compliance Operations & Support

• Oversee regulatory licensing matters for appointed representatives and ensure compliance with MAS requirements.

• Support general compliance operations, including internal reviews, audits, and documentation maintenance.

• Escalate material compliance issues to the Head of Compliance.

• Assist with ad hoc compliance projects or initiatives as assigned by the Head of Compliance.

Requirements:

You should possess the following:

• Degree in Business, Accountancy, Finance or a related field.

• Minimum 5 years of experience in compliance, preferably within the brokerage industry (securities and/or derivatives), with at least 1–2 years in regulatory compliance or regulatory engagement.

• Familiarity with MAS regulations (SFA, FAA, SF(LCB)R, FAR), AML/CFT requirements, and exchange rules (e.g. SGX).

• Proficient in Microsoft Office (Excel, Word, PowerPoint) for compliance reporting, policy drafting, and documentation.

• Strong written and verbal communication skills; able to provide sound compliance advice and handle sensitive matters professionally.

• A team player who can work independently with maturity, attention to detail, and a positive attitude.

HOW TO APPLY:

Interested applicants, kindly send your resume in MS WORD format to ref24#trustrecruit.com.sg or please click on “Apply Now”.

We regret only shortlisted candidates will be notified.

Important Note: Trust Recruit Pte Ltd is committed to safeguarding your personal data in accordance with the Personal Data Protection Act (PDPA).

Please read our privacy statement on our corporate website www.trustrecruit.com.sg.

Trust Recruit Pte Ltd

EA License No: 19C9950

EA Personnel: Teah Yan Lin (Rolland)

EA Personnel Reg No: R23115528