Regulatory Compliance Associate

RECRUIT LYNC PTE. LTD.; Singapore; On-site; SGD 50,000 - 80,000; Full time

Job summary

A financial services firm in Singapore is seeking a Compliance Officer to lead the supervision of members and ensure regulatory compliance. You will review and enhance internal control frameworks while maintaining effective communication with regulators. The ideal candidate holds a degree in Accountancy and has at least 3 years of experience in audit firms.

Qualifications

• Minimum Degree or above in Accountancy.
• Minimum 3 years of experience in audit firms.

Responsibilities

• Lead APEX’s supervision of members.
• Review and strengthen frameworks for member supervision.
• Monitor compliance with Trading and Clearing Rules.
• Develop compliance culture in APEX.

Skills

Compliance Monitoring

Policy Implementation

Regulatory Knowledge

Education

Minimum Degree in Accountancy

Job description

• Mon - Fri
• Finance Industry
• Raffles MRT

Responsibilities

• Lead APEX’s supervision of members to ensure that they are fulfilling their obligations under the APEX Trading and Clearing Rulebooks
• Review and strengthen frameworks, policies and procedures for member supervision
• Monitor members on their compliance with the relevant Trading and Clearing Rules, and carry out disciplinary actions if necessary
• Perform relevant processes under the APEX Trading Procedures and Clearing Procedures
• Develop and strengthen the compliance culture in APEX and related entities
• Review and implement policies and procedures to monitor and enhance APEX’s internal controls
• Ensure APEX’s compliance with regulatory obligations under the Securities and Futures Act, and related regulations, including, but not limited to, submission of regulatory returns, assessment of potential non-compliance and breaches, and supporting departments in their compliance needs
• Maintain effective communications and relationships with APEX’s regulators, such as the Monetary Authority of Singapore

Requirements

• Minimum Degree or above in Accountancy
• Minimum 3 years or above in relevant working in audit firms

We regret to inform you that only shortlisted candidates will be notified.

Choek Wei Qi Joel | R1877109

Recruit Lync Pte Ltd | 22C1000