Charterhouse Partnership is currently partnering an international Brokerage to source for a Compliance Manager. As part of their expansion plan in Asia, this will be a new headcount in Singapore. Reporting to the APAC Head of Legal and Compliance, you will manage the regulatory compliance framework and policies.
The incumbent will assist in reviewing, assessing and implement regulatory change impacting the entity. You will take ownership in managing the Compliance Review Program to ensure internal departments are compliant with rules, policies and procedures.
You will be responsible in preparing of compliance training materials and ensure mandatory training requirements are met by employees and licenses representatives.
You will also be required to interpret regulations and rules affecting business transactions and practices.
Degree with minimum 5 years of retail compliance/audit experience at a financial services regulator, exchange/trading venue or similar experience
Prior working experience in Dealing Desk operation will be a strong plus
Good understanding of Singapore regulations, notices and guidelines, relating to ASIC and Capital Markets Services License would be an advantage.
Strong communication skills with ability to positively influence senior management.
For more information on the above position, or to discuss the compliance market in general, please send your CV to Xuan Kwok at XuanK@charterhouse.com.sg or call 6950 0354 for a confidential discussion.
EA License no: 16S8066 | Reg no.: R1433611
Only successful candidates will be notified.