This is an exciting opportunity for individuals seeking a broader Compliance spectrum.
As a vital member of the Compliance team, you will partner closely with the Singapore and Regional Heads of Compliance in providing Compliance and Regulatory advice on the firm’s equities research and sales trading team. You will participate in supporting the regional presence in Asia.
In this position, you will provide Compliance advisory and liaise with the regulators for compliance inquiries. You will work the business, perform trade monitoring and surveillance of the equities trading desk, investigate irregular trading activities, document findings, and assist in preparing regulatory responses. You will also participate in the Group / APAC Compliance projects.
To qualify for the role, you should possess at least 5- 8 years of relevant compliance experience in global market advisory compliance with equities knowledge. You should have a good understanding of international and local regulations impacting dealing broker firms. Good interpersonal skills, analytical and attention to detail are desirable traits.
Interested applicants, please reach out to me at email@example.com. Your interest will be treated with the strictest confidentiality.
Reg. No. R1105493 | EA Licence No. 16S7973