About Our Client:

Our client is a regulated financial services platform operating within the securities and brokerage sector. With a growing presence in Singapore, the firm is looking to strengthen its compliance function with an experienced compliance professional. The role offers broad exposure across regulatory advisory, compliance monitoring and business support within a fast-moving capital markets environment.

Key Responsibilities:

• Maintain compliance frameworks, policies, procedures and monitoring programmes
• Interpret regulatory developments and advise management and business stakeholders
• Manage regulatory filings, licensing matters, enquiries and inspections
• Conduct compliance reviews and support remediation of identified issues
• Prepare compliance reporting for senior management and governance forums
• Support AML/CFT, KYC and client onboarding matters
• Coordinate internal and external audits
• Partner with business, operations and technology teams to improve compliance processes

Requirements:

• 4–7+ years of compliance experience within a MAS-regulated financial institution
• Experience from securities brokerage, exchanges, capital markets, fintech or digital investment platforms preferred
• Strong understanding of the Securities and Futures Act and relevant MAS requirements
• Familiarity with capital markets products and trading activities
• Experience in regulatory filings, policy drafting, monitoring and audit matters
• Strong analytical, communication and stakeholder management skills
• Independent, detail-oriented and comfortable working in a fast-paced environment