Senior Compliance Executive

Straits Financial Group; Singapore; Presencial; SGD 90.000 - 130.000; Jornada completa

Descripción de la vacante

Straits Financial Group is seeking a Senior Compliance Executive to lead regulatory compliance matters, with emphasis on financial crime prevention and the Securities and Futures Act. The role establishes second-line governance and reporting for compliance risks, supports business activities, and manages AML, regulatory risk programs.

The candidate should have at least 6 years in financial/brokerage compliance, strong SFA/FAA knowledge, and a background in trade surveillance is preferred.

Formación

• Regulatory knowledge across SFA/FAA and exchange rules.
• At least 6 years in financial/brokerage regulatory roles.
• Trade surveillance background is preferred.

Responsabilidades

• Manage regulatory compliance across group entities.
• Research new regulatory requirements and propose actions.
• Review compliance calendars and programs for obligations.
• Conduct compliance reviews and remediation for non-compliance.
• Coordinate with counterparties on regulatory requests and follow-up.
• Carry out fund movement and assist with trade surveillance.
• Review advertising and marketing materials for compliance.
• Provide guidance on compliance policies and procedures.
• Escalate salient matters to Head of Compliance.

Conocimientos

Regulatory compliance

AML / financial crime

SFA FAA knowledge

Trade surveillance

Educación

Law, Accountancy, Finance, Business or equivalent

Descripción del empleo

Senior Compliance Executive

Organising Institution / Firm

Straits Financial Group

Rolling Basis (Official)

Not Specified

Degree in Law, Accountancy, Finance, Business, or equivalent; At least 6 years of relevant working experience in the financial/brokerage (securities/derivatives) industry; Well-versed with regulatory obligations of SFA, FAA, and exchange regulations (e.g., CME, ICE EU, SGX); Trade Surveillance background viewed favourably.

Job

Full Opportunity Brief

Senior Compliance Executive at Straits Financial Group

Straits Financial Group is seeking a Senior Compliance Executive to assist in all regulatory compliance matters, with a focus on financial crime prevention and the Securities and Futures Act. The role involves establishing and maintaining second-line governance and reporting arrangements for financial crime and compliance matters, supporting business activities, and managing AML, compliance, and regulatory risks.

Key Eligibility Criteria

• Education: Degree in Law, Accountancy, Finance, Business, or equivalent.
• Experience: At least 6 years of relevant working experience in the financial/brokerage (securities/derivatives) industry.
• Regulatory Knowledge: Well-versed with regulatory obligations of the Securities and Futures Act (SFA), Financial Advisers Act (FAA), and exchange regulations (e.g., CME, ICE EU, SGX).
• Preferred: Candidates with Trade Surveillance background will be viewed favourably.

Responsibilities & Scope of Work

• Manage regulatory compliance across all local entities within the Group.
• Anticipate and research new regulatory requirements, including consultation papers, and propose implementation actions.
• Review annual compliance calendars and programs to ensure adherence to ongoing obligations.
• Perform compliance reviews and address non-compliance situations with realistic remediation plans.
• Coordinate with counterparties on regulatory requests and ensure prompt follow-up.
• Carry out fund movement surveillance and assist with trade surveillance (daily alert reviews, annual parameter reviews).
• Review advertising and marketing materials for compliance.
• Provide advice and guidance on compliance policies and procedures.
• Escalate salient matters to the Head of Compliance.

Stipend, Compensation & Mode

Compensation: Not specified in the source.