Compliance Manager / Senior Compliance Associate – Brokerage Firm

The Role

We are partnering with a brokerage firm that is seeking a Compliance Manager / Senior Compliance Associate in Singapore.

This is an excellent opportunity for a compliance professional to join a well-regarded financial institution and play a key role in regulatory advisory, compliance monitoring, surveillance, and policy governance. The position offers broad exposure across front-to-back-office stakeholders within a regulated trading environment.

Responsibilities

• Provide compliance support and guidance to business and operational teams
• Conduct compliance monitoring, surveillance reviews and AML testing activities
• Support regulatory reporting, licensing and representative registration matters
• Review and enhance compliance policies, procedures and governance frameworks
• Monitor regulatory developments and support implementation of new requirements
• Deliver compliance training and awareness initiatives across the business

Requirements

• Approximately 5+ years of compliance experience within brokerage, capital markets, banking or financial services
• Strong compliance advisory experience partnering with front office and business stakeholders
• Good understanding of MAS regulations, SFA, FAA, SGX Rules and related regulatory requirements
• Experience in compliance monitoring, surveillance, AML and regulatory compliance activities
• Ability to interpret regulations and provide practical compliance guidance to the business
• Strong communication, stakeholder management and analytical skills
• Prior experience within a brokerage or securities trading environment would be advantageous

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