Senior Compliance Executive
Organising Institution / Firm
Straits Financial Group
Quick Verified Facts
π Deadline
Rolling Basis (Official)
π Mode / Location
Singapore, Singapore
π° Stipend / Pay
Not Specified
π Eligibility
Degree in Law, Accountancy, Finance, Business, or equivalent; At least 6 years of relevant working experience in the financial/brokerage (securities/derivatives) industry; Well-versed with regulatory obligations of SFA, FAA, and exchange regulations (e.g., CME, ICE EU, SGX); Trade Surveillance background viewed favourably.
π‘οΈ Category
Job
Full Opportunity Brief
Senior Compliance Executive at Straits Financial Group
Straits Financial Group is seeking a Senior Compliance Executive to assist in all regulatory compliance matters, with a focus on financial crime prevention and the Securities and Futures Act. The role involves establishing and maintaining second-line governance and reporting arrangements for financial crime and compliance matters, supporting business activities, and managing AML, compliance, and regulatory risks.
Key Eligibility Criteria
- Education: Degree in Law, Accountancy, Finance, Business, or equivalent.
- Experience: At least 6 years of relevant working experience in the financial/brokerage (securities/derivatives) industry.
- Regulatory Knowledge: Well-versed with regulatory obligations of the Securities and Futures Act (SFA), Financial Advisers Act (FAA), and exchange regulations (e.g., CME, ICE EU, SGX).
- Preferred: Candidates with Trade Surveillance background will be viewed favourably.
Responsibilities & Scope of Work
- Manage regulatory compliance across all local entities within the Group.
- Anticipate and research new regulatory requirements, including consultation papers, and propose implementation actions.
- Review annual compliance calendars and programs to ensure adherence to ongoing obligations.
- Perform compliance reviews and address non-compliance situations with realistic remediation plans.
- Coordinate with counterparties on regulatory requests and ensure prompt follow-up.
- Carry out fund movement surveillance and assist with trade surveillance (daily alert reviews, annual parameter reviews).
- Review advertising and marketing materials for compliance.
- Provide advice and guidance on compliance policies and procedures.
- Escalate salient matters to the Head of Compliance.
Stipend, Compensation & Mode
Compensation: Not specified in the source.
Employment Type: Full-time
Location: Singapore, Singapore
Application Procedure
- Visit the official LinkedIn job posting.
- Click the Apply button on the job page.
- Sign in to your LinkedIn account or create a new one if you do not have one.
- Submit your application through the LinkedIn platform.
Official Notification & Contact Information
Application Link: https://sg.linkedin.com/jobs/view/senior-compliance-executive-at-straits-financial-group-4474647918
Contact Info: Not specified