Compliance Manager (Singapore)

My client is an online securities brokerage headquartered in Hong Kong, with businesses across Hong Kong, Singapore, China, and New Zealand. They are now looking for a compliance manager based in Singapore to support the daily operations and internal policies under the updated regulatory environment. 

Candidates are required to have minimum 4 to 6 compliance experience gained in financial institutions, preferably in securities brokerages or FinTech companies. This opportunity offers attractive package and fast-growing platform to further develop your compliance knowledge and skills.

Job Responsibilities:

• Provide compliance advice on rules and regulations relating to the capital market product dealing, financial adviser and fund management businesses and internal policy and procedures requirements;
• Perform onboarding of new clients in accordance with relevant KYC/AML regulatory requirements;
• Perform periodic review of transactions and investigation with respect to potential trading malpractices identified;
• Perform ongoing AML/CFT review and monitoring on client accounts including transaction monitoring, name screening, ECDD etc;
• Keep abreast of development in regulatory requirements to ensure adherence to new and existing requirements. This may include updating policies and procedures and providing regulatory updates to Business;
• Assist in any ad-hoc matters and projects as assigned by the Management;

Job Requirements:

• Bachelor’s Degree, preferably business, finance or laws related;
• 4 to 6 years of compliance experience in financial institutions preferably fintech company;
• Possess sound knowledge and/or working experience in MAS regulations, SFA, FAA, transaction monitoring, AML/KYC and funds/discretionary investment management;
• Proactive, objective and possess an aptitude of risks and controls;
• Attention to details and possess an enquiring mind;
• Good verbal and communication skills in English and Mandarin;
• Good at reading and writing in Chinese;

For interested parties, please contact Winifred by w.tsang@hamlynwilliams.com for a confidential chat.