Senior Compliance Manager - Trading/Capital Markets

  • Negotiable
  • Singapore
  • Permanent, Full time
  • McGregor Boyall Associates Pte Ltd (Singapore) , EA Licence No: 11S4330
  • 20 Sep 16

My client is a leading trading firm looking for a candidate with 7 years or more solid compliance experience to join them as a Senior Compliance Manager. You will be responsible for the legal and ethical integrity of the business policy enforcement and program planning in line with market rules and regulations, functioning as an independent and objective body that reviews and evaluates compliance issues/concerns within the organization and ensure that employees are complying with the same.

You will be required to

  • Develop, implement and maintain an appropriate compliance framework with supporting policies and procedures.
  • Develop and enforce the compliance review framework to ensure proper assessment of compliance risk with respect to applicable rules and regulations, internal guidelines and industry standards
  • Advise, monitor and oversee regulatory compliance matters and facilitate overall trading compliance;
  • Provide compliance advisory to management and business units on compliance with laws, rules and industry standards;
  • Act as the single point of contact for compliance advisory & issue resolution;
  • Ensure that compliance policies and regulatory requirements are adhered to;
  • Form strong relations with regulators and third parties keeping abreast of future regulatory development;
  • Manage and execute compliance programs, provide policy guidance and carry out compliance training for internal staff, providing information on trading rules, settlement rules, order flagging, market abuse, etc., optimizing internal controls;
  • Prepare compliance reporting according to management requirements.

Qualifications, Skills and Knowledge Required:

  • Degree in Finance, Economics or similar with a relevant professional accreditation;
  • 7-10 years of experience in Compliance Management or equivalent, preferably in the finance / trading industry;
  • Solid understanding of Trading Compliance within Singapore and the APAC Region;
  • Familiar with key capital markets' regulations;
  • Team player with independent thinking skills and the ability to understand new, complex concepts;
  • Bears experience of working with securities and derivatives products;

For a confidential discussion, do reach out to Paul (EA License No R1110469) at 63947065

McGregor Boyall Associates Pte Ltd is an equal opportunity employer and do not discriminate based on race, religion, gender, age, sexuality, gender identification, or physical ability.

EA Licence No: 11S4330