Head of Compliance (Online Brokerage) Head of Compliance (Online Brokerage) …

Michael Page
in Singapore
Permanent, Full time
Last application, 21 Jun 21
Negotiable
Michael Page
in Singapore
Permanent, Full time
Last application, 21 Jun 21
Negotiable
This Head of Compliance role is with a top tier online brokerage firm in the region. In this role you will be responsible for overseeing and managing all compliance matters for Singapore.

Our client is 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 opportunities 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:-

  • Designing and implementing regulatory compliance framework to ensure the entity is compliant with its regulatory obligations.
  • Providing advisory services to business units in the interpretation and implementation of compliance requirements.
  • Acting as the contact person when breaches or violations of compliance obligations have occurred.
  • Keeping abreast of key regulatory changes and notifying relevant business divisions.

Profile

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

  • A recognised Bachelor's Degree from a reputable institution.
  • 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 in 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 handle all compliance matters for Singapore.

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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