Compliance Manager (Securities)

• VP level - Individual contributor role
• New headcount due to business expansion

We are currently collaborating with a brokerage firm in Singapore that is seeking a new Compliance Manager to join their team. In this position, you will provide regulatory and compliance policy guidance across various teams, focusing on areas such as underwriting, private placements, marketing, selling securities, and managing internal controls and information barriers.

Key responsibilities will include overseeing the firm's information barrier policy, ensuring compliance with operating procedures and guidelines, and handling compliance issues, escalations, and reporting. Additionally, you will work closely with external lawyers, regulators, and financial advisers on compliance matters, review regulatory documents, manage regulatory submissions, and conduct compliance assessments.

Qualifications:

• Bachelor's Degree in Law/Accounting/Business/Economics/Finance
• Minimum 4 years of relevant experience
• Good understanding of SGX, MAS and SFA

If you believe you fit the requirements for the role, please click Apply or send in your resume to

Short listed candidates will be notified.

Data provided is for recruitment purposes only.

Business Registration Number: 200611680D.
Licence Number: 10C5117 EA Registration Number: R1981753