Manager / Associate Director, Compliance

  • Competitive
  • Singapore
  • Permanent, Full time
  • Non-disclosed
  • 12 Feb 18 2018-02-12

Our client is one of the largest brokerage and financial services groups in Japan who is seeking to hire a Manager / Associate Director (Compliance) to join their growing business.


  • Perform trade surveillance on fixed income transactions.
  • Provide advisory for a range of businesses with focus on Fixed Income Business and Private Banking / Wealth Management
  • Provide advisory on Anti-Money Laundering regulations and Customer Due Diligence requirements
  • Perform compliance review to ensure adherence to rules and regulations (such as trade surveillance, documentation etc) and follow-up to ensure the proper closure of identified compliance gaps
  • Perform reviews on Information Security (eg. review staff’s e-communication) and attend to staff’s queries on information security matters and approving staff’s requests to access to blocked websites
  • Conduct training for staff on compliance related topics
  • Maintain the company’s Register on Outsourcing and attend to Outsourcing related matters/queries
  • Attend to staff’s staff trade requests / matters relating to personal account dealing matters.
  • Liaise with internal and external auditors on audit reviews and queries, where necessary
  • Perform special review / tasks as assigned.
  • Review amendments to policies and procedures when necessary to ensure consistency


  • Degree from recognized university or relevant professional qualifications 
  • 5 years of relevant experience in audit firms / financial institution in audit or compliance etc. Experience in fixed income and/or private banking business and familiar with Anti-Money Laundering regulations would be an added advantage 
  • Possess good knowledge of Banking Act, Banking Regulations, MAS Notices and Guidelines, Financial Advisers Act, Securities and Futures Act and SGX-ST Rules 
  • Able to perform trade surveillance using SMARTS would be an added advantage
  • Proficient in Japanese language (written and spoken) preferred. 
  • Independent and a team player with good interpersonal and writing skills

For interested parties, please kindly send us your profile with current and expected package by clicking on the APPLY button