An online trading firm is looking to hire 2 compliance professionals at AVP/VP grade to report to the Global Head of Risk & Compliance and help in CMS license application. You will be responsible for the following
Assume the day-to-day Compliance control function and ensure that the business operates in compliance with relevant legislations/regulations,
Provide compliance advice to the business on ongoing business as well as new products.
Monitoring and surveillance of guidelines which includes setting up & maintaining the rules and watchlist. Advising and providing comments for new and existing mandates in terms of review and media advertisements
Develop a compliance risk assessment process and implementing a robust compliance monitoring/desk review programme.
You will keep abreast of regulatory developments and identify AML risks and control weakness and provide recommendations to resolve the issues
You should have at least 6 years of relevant compliance experience with another brokerage firm/CMS licensed fund manager. Experience with startup enviroment is advantage. Effective communication skills as well as ability to solve problems are essential to success.
Singapore Employment Agency Licence No: 16S8069
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