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Compliance Manager, Securities Trading / Brokerage firm

Amethyst Partners Singapore
Posted 3 months ago Permanent Competitive
Posted by
Loretta Chan
Our client is a securities trading / brokerage firm with a strong track record in the region. As the business continues to grow they are looking for a Compliance Manager and the role is based in Singapore.

Key responsibilities:

  • Cover a full spectrum of Compliance scope includes regulatory compliance, internal compliance, financial crime and compliance etc
  • Liaise with regulators on regulatory filing and answer their enquires
  • Review regular transaction monitoring from financial crime perspectives
  • Monitor AML risk assessment for the firm and sanction compliance
  • Review and execute compliance policies and procedures for the firm
  • Update and advise the senior management on the compliance requirements to ensure the firm’s is aligned with regulatory standard
  • Keep track of new regulatory requirements and update the internal stakeholders
  • Maintain the overall compliance team operations and participate in process improvement when necessary

Key requirements:

  • At least 6 years of Compliance experience in brokerage / securities trading / exchange / payment services industries
  • Bachelor’s degree in business or legal or other disciplines
  • Well-versed with regulatory requirements in brokerage / securities trading industry
  • Familiar with AML/ KYC tools and financial crime prevention standards
  • A good all-rounded experience in compliance
  • Good communication and presentation skills
  • Motivated, meticulous and mature


Interested parties please send your resume to Loretta Chan at

Regrettably only shortlisted candidates will be contacted

EA License Number: 20C0180| Registration no: R1876188 

30 Employees Asset Management

Amethyst Partners offer specialized recruitment solutions within the asset management industry in the Asia Pacific region. We help our candidates to increase knowledge of their career options, and we provide strategic advice in unlocking their full career potential to achieve meaningful career advancement. We believe that career progression requires long-term planning, and thus we value good relations with our candidates to ensure that every career step they take could bring them closer to their personal goals.

If you are looking to speak with us for career advice, drop us your resume and/or contact at and our sector specialist will follow up with you.

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