compliance officer, broker.

about the company

A Capital Market Licensed Broker is looking to hire an experienced compliance professional to help continuously develop, improve and implement a robust compliance programme to ensure their business is in adherence with MAS guidelines and regulations.

about the job

Reporting to the Head of Compliance, your responsibilities include:

• Advising the business on all compliance matters and regulations related to Securities and Futures Act (SFA) and all relevant MAS notices ensuring the business is operating in accordance to the CMS license requirements
• Review trade surveillance alerts and carry out further investigations where necessary
• Reviewing current policies, controls, manuals, and updating them to ensure the business is protected from breaches and unncessary risks
• Establishing and implementing a robust compliance monitoring programme on a periodic basis
• Addressing queries from MAS and external authorities, as well as facilitating any internal and external audits

skills and experience required

• Bachelors Degree
• Minimum 4 years of relevant experience in Compliance within licensed Financial Institutions
• Good understanding of MAS Notices and Securities and Futures Act (SFA)
• Ability to take initiative and operate independently; strong team player

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