Head Of Compliance (Brokerage Firm) Head Of Compliance (Brokerage Firm) …

Michael Page
in Singapore
Permanent, Full time
Be the first to apply
Negotiable
Michael Page
in Singapore
Permanent, Full time
Be the first to apply
Negotiable
This Head Of Compliance role is with a top tier brokerage firm in the region. In this role you will be responsible for overseeing and managing all compliance matters for Singapore.

Our client is a leading online brokerage firm backed by strong investors in the region. Their trading platform offers real-time stock quotes, dedicated customer service and finance news updates. They also offer trading opportunity in Equities, Exchange-Traded Funds (ETF), Futures, Stock Options and Warrants on users mobile phones.

Description

Reporting to the CEO, the Head Of Compliance will be involved in:-

  • Design and implement regulatory and compliance framework to ensure the entity is compliant with its regulatory obligations.
  • Provide advisory services to business units in the interpretation and implementation of compliance requirements.
  • Act as the contact person when breaches or violations of compliance obligations have occurred.
  • Keep abreast of key regulatory changes and notify relevant business divisions.

Profile

To qualify the potential Head Of Compliance should meet the following criteria:-

  • A recognised Bachelor's Degree in Economics, Finance or related field.
  • At least 8 years working experience as a compliance officer with a brokerage firm.
  • Strong knowledge of the CMS license operations and its legal and regulatory context.
  • Experienced is setting up the compliance desk from scratch.

Job Offer

The remuneration for this role will be competitive as the successful candidate will be required to build up the compliance desk from ground zero.

To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Devan Nanthacumar on +65 6416 9879.

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