Compliance Executive
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Job Location:
Monthly Salary:
Posted on:
Yesterday
Vacancies:
1 Vacancy
Job Summary
We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best so we are always in search of the best people to join our ever-growing talented team.
We are seeking a motivated and detail-oriented Compliance Executive to support the establishment and daily operations of the Compliance function in Singapore. This role will focus on implementing and maintaining compliance controls monitoring programmes coordinating with group compliance teams and ensure the companys compliance framework meets the Monetary Authority of Singapore (MAS) requirements under the Securities and Futures Act (SFA) and its related regulations.
You will work closely with the Head of Compliance to ensure the business operates within applicable regulatory frameworks maintaining high standards of compliance culture and conduct across the company.
Responsibilities:
- Assist in the review implementation and development of the companys compliance framework policies and procedures in Singapore.
- Support the Head of Compliance in ensuring compliance with MAS requirements under the SFA and related regulations.
- Prepare review and submit regulatory filings notifications and reports via MASNET ensuring accuracy and timeliness.
- Monitor and assess regulatory developments and communicate relevant updates to the business.
- Provide day-to-day compliance advisory support to internal stakeholders.
- Conduct compliance monitoring reviews and testing in accordance with the Compliance Monitoring Plan.
- Liaise with overseas compliance teams and provide oversight on the compliance activities performed by group entities.
- Maintain compliance registers documentation and evidence of oversight including the Outsourcing Register breaches log and complaints records.
- Review client complaints responses and ensure accurate fair and timely resolution in accordance with internal procedures and regulatory requirements.
- Review and approve marketing and client communications.
- Support the preparation of compliance reports to senior management and contribute to compliance training and awareness initiatives.
Requirements:
- Bachelors degree in Law Finance Accounting Economics Business Administration or a related discipline.
- Minimum 35 years experience in a compliance or regulatory role within Capital Markets licensed firms or working knowledge of Securities and Futures Act (SFA) and/or Financial Advisers Act (FAA).
- Good understanding of MAS regulations and AML/CFT requirements.
- Experience in MASNET submissions compliance monitoring and testing.
- Experience in reviewing marketing materials and customer complaints handling preferred.
- Strong attention to detail and ability to manage multiple priorities in a fast-paced environment.
- Good written and verbal communication skills with confidence in interacting with business and internal stakeholders.
- Proactive resourceful and a strong team player with a hands-on and solution-oriented approach.
What you will get in return:
Competitive Salary: We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated.
Work-Life Harmony: Join a company that genuinely cares about you - because your life outside of work matters just as much as your time on the clock. #LI-Hybrid
Generous Time Off: Need a breather Our annual leave policy lets you recharge and enjoy life outside of work without a worry.
Employee Referral Program: Love working here Share the love! Bring your talented friends on board and get rewarded for growing our awesome team.
Comprehensive Health & Pension Benefits: From medical insurance to pension plans weve got your back. Plus location-specific benefits and perks!
Workation Wonderland: Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!
Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community.
Be a key player at the forefront of the digital assets movement propelling your career to new heights!Join a dynamic and rapidly expanding company that values and rewards talent initiative and alongside one of the most brilliant teams in the industry.
Key Skills
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About Company
Enjoy online trading like never before. With Capital.com’s app, you can discover investment opportunities on leading financial markets. Access the latest trading insights at the touch of a button, as well as in-depth educational features, comprehensive financial analysis and the day’s ... View more
