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.

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.

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.

1. 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.

1. 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

1. 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.

1. 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.