Compliance Manager/ AM (Securities Brokerage)

Job Responsibilities:

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.

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.

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.

HOW TO APPLY:

Interested applicants, please click on “Apply Now”. We regret only shortlisted candidates will be notified.

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