Compliance Manager (Contract)

An execution services arm of a Global Financial Group, provide brokerage services to clients around the world.
Your new company
An agency-model execution services arm of a Global Financial Group, provide brokerage services to clients in over 65 markets around the world.

Your new role
  • Reviewing and analysing due diligence information on new and existing clients to meet all regulatory requirements.
  • Liaise with front office and clients on account opening-related and KYC queries.
  • Review any suspicious activities or transactions arising from rolling review of client accounts.
  • Daily review of SMARTS monitoring alerts to identify and escalate unusual transaction or activities
  • Assist in regulatory enquiries and request for client information or investigation of client account activities.
  • Complete other transaction monitoring reports as needed (large transaction, married trades, error trades, sample checks).
  • Monitor licensed representatives’ compliance with regulatory requirements (fit and proper, CPD, etc).
  • Preparation of license applications for new licensed representatives, if any.
  • Routine reporting to MAS and SGX as required.
  • Routine reporting to affiliates as required.
  • Assign and ensure staff training has been completed.
  • Liaise with outsourced vendors on bi-annual basis to complete outsourcing due diligence.
  • Assist with co-ordination of annual BCP testing.
  • Other ad hoc general compliance duties as required.

What you'll need to succeed
  • Minimum a Bachelor Degree in Finance, Accounting or Business at an accredited University
  • Minimum 6 years of work experience in Compliance role (particularly in AML / KYC client on boarding and transaction monitoring) in a bank or financial services company.
  • Knowledge of Singapore AML/CFT laws and regulations.
  • Good communication skills.
  • Problem solving mindset.
  • Good team player, proactive and able to adapt quickly.

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV to If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.

Registration No: R1986473
EA License No: 07C3924
Company Registration No: 200609504D #1226326


Job Type
Banking & Financial Services

Talk to a consultant

Talk to Lionel Lee, the specialist consultant managing this position, located in Singapore
#27-20 UOB Plaza 2, 80 Raffles Place

Telephone: 63030151

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