As part of its continued expansion, a growing securities brokerage and capital markets firm is looking for an experienced Compliance Assistant Vice President (AVP) generalist to assist in managing the firm's regulatory risk.
In this role, you will assist in the creation, implementation, and update of compliance policies and procedures, and participate in the firm's strategic projects and initiatives with other business units, including the new product approval process, providing regulatory and compliance advice. You will provide regulatory compliance advice to relevant business units, conduct transaction monitoring, trade surveillance, and e-communication surveillance across business lines, and review marketing materials to ensure adherence to regulatory requirements. You will also assist in coordinating internal and external audits, design and deliver compliance training, maintain the compliance and outsourcing register, and take on other duties as assigned.
The ideal candidate will possess a minimum of 5 years of demonstrated working experience in Compliance, with previous experience at a Capital Markets Services Licensee advantageous. Candidates should have knowledge of the Securities and Futures Act 2001, Financial Advisers Act 2001, Personal Data Protection Act 2012, and Singapore Exchange Regulations, along with an understanding of sales and trading products and practices.
If you’re interested, please apply via the link or email your updated resume to wanyee.pang@ethosbc.com.
WP
Reg No. R2094093
BeathChapman Pte Ltd
Licence no. 16S8112
