Compliance Officer

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

Job summary

Ethos BeathChapman in Singapore seeks an experienced Compliance AVP to manage regulatory risk across the firm's operations. You will craft and update policies, advise on compliance matters, and support strategic initiatives including product approvals.

The role covers transaction monitoring, surveillance across lines, review of marketing materials for regulatory compliance, and coordination of internal and external audits.

Qualifications

• Minimum 5 years of hands-on experience in Compliance.
• Knowledge of the Securities and Futures Act, Financial Advisers Act, PDPA, and SGX Regulations preferred.
• Experience in capital markets or sell-side compliance is advantageous.

Responsibilities

• Create, implement, and update compliance policies and procedures.
• Provide regulatory compliance advice to business units and participate in strategic initiatives.
• Conduct transaction monitoring, trade surveillance, and e-communication surveillance across lines of business.
• Review marketing materials for regulatory adherence.
• Coordinate internal and external audits; assist in audit processes.
• Design and deliver compliance training; maintain compliance and outsourcing registers.

Skills

Regulatory compliance

Policy development

Training delivery

Audit coordination

Stakeholder management

Job description

As part of its continued expansion, a growing securities brokerage and capital markets firm is looking for an experienced Compliance Assistant Vice President (AVP) generalist to assist in managing the firm's regulatory risk.

In this role, you will assist in the creation, implementation, and update of compliance policies and procedures, and participate in the firm's strategic projects and initiatives with other business units, including the new product approval process, providing regulatory and compliance advice. You will provide regulatory compliance advice to relevant business units, conduct transaction monitoring, trade surveillance, and e-communication surveillance across business lines, and review marketing materials to ensure adherence to regulatory requirements. You will also assist in coordinating internal and external audits, design and deliver compliance training, maintain the compliance and outsourcing register, and take on other duties as assigned.

The ideal candidate will possess a minimum of 5 years of demonstrated working experience in Compliance, with previous experience at a Capital Markets Services Licensee advantageous. Candidates should have knowledge of the Securities and Futures Act 2001, Financial Advisers Act 2001, Personal Data Protection Act 2012, and Singapore Exchange Regulations, along with an understanding of sales and trading products and practices.

WP Reg No. R2094093 BeathChapman Pte Ltd Licence no. 16S8112