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Compliance Manager (Securities Group)

Job description


Compliance Manager - Securities Group (AVP)


Our client is an international financial institution, looking for a Compliance Manager to proactively participate in setting up the compliance team here in Singapore. In this new role, you will be working on general compliance activities such as KYC, regulatory compliance, compliance advisory, transaction monitoring, employee trainings, and compliance reporting.


  • Conduct KYC analysis on high-risk customers and address KYC/AML queries and escalations.
  • Manage MAS Representative licensing and tracking.
  • Help establish and implement regulatory requirements, compliance processes, and policies.
  • Monitor transactions and activities for compliance and conduct surveillance and reviews.
  • Assist in compliance training.
  • Collaborate with HK Compliance team and other functions on compliance matters.
  • Support Compliance Director of SG in compliance matters and projects


  • Familiarity with Rep licensing, Outsourcing, PAD, and Transaction monitoring.
  • At least 3 years of working experience in a compliance related role, ideally in the financial services environment.
  • Good knowledge of SFA, FAA, and regulatory expectations for CMIs.
  • Strong understanding of Capital Markets and Investment products.
  • Ability to converse in Mandarin/Cantonese as interaction with Chinese clients is required.

To Apply

If you believe you fit the requirements for the role, please click APPLY NOW or send an email to with your latest CV.

Note: We regret that only shortlisted candidates will be notified.
Data provided is for recruitment purposes only
Business Registration Number: 200611680D.
Licence Number: 10C5117 EA Registration Number: R22110363

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