488 Compliance Management jobs in Singapore
Manager, Regulatory Compliance Management
Posted 6 days ago
Job Viewed
Job Description
Singapore, Singapore
**Hours:**
40
**Line of Business:**
Compliance
**Pay Details:**
We're committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.
**Job Description:**
**Job Summary**
TD has enhanced its Regulatory Compliance Management Framework (RCM) and is implementing new and/or enhancements to existing programs to support a strong risk culture and comprehensive approach to managing regulatory compliance risk. This position is a newly created role on the Core Compliance team to oversee and manage the implementation of key programs that support the RCM and assist with the integration of the newly acquired businesses and expansion of the Core Compliance program.
**Job Responsibilities**
**Regulatory Compliance Management (RCM) and Issues Management**
+ Support the establishment of RCM program for TDS APAC Compliance in accordance with the enterprise RCM framework.
+ Manage the Spring and Fall Regulatory Compliance Management (RCM) Risk Assessment process.
+ Support the expansion of Core Compliance programs to existing and new business units.
+ Develop consistent issues management framework for TDS APAC Compliance
+ Implement and oversee issues management program and appropriate tracking/reporting of issues.
+ Facilitate self-reporting of issues and analysis of observations/recommendations and whether they should be tracked.
+ Manage aspects of the development and maintenance of the Firm's Regulatory Inventory and support Compliance in related activities including business mapping, control mapping and automation.
**MERLIN Technology Solution**
+ Centralize/oversee the application of the firm's in-house system, Merlin, to TDS APAC Compliance activities. The Merlin system is being designed to support risk assessments, issues management, rules inventory, regulatory change, control mapping and monitoring and testing.
+ Compliance lead on all MERLIN projects: Participate in MERLIN working groups, input and maintain Issues/MUCs affecting TDS Compliance
+ Provide review and challenge for rules inventory and control mapping in Merlin.
+ Liaise with Markets Compliance in Risk Assessment process and help connect process to rules inventory, control mapping and M&T in Merlin
**Compliance Monitoring and Testing**
+ Assist in the development of annual testing plans and support the conduct of Compliance Monitoring and Testing of TDS Business Units
+ Liaise with other enterprise functions that conduct testing for continuity and alignment.
+ Conduct complex testing engagements and help develop testing for newly acquired business areas.
+ Manage various emerging and innovative compliance projects.
**Required Qualifications**
+ A relevant degree, with at least 10 years of experience in relevant areas such as regulatory compliance, gained from top tier bank, fund/asset management or major consultancy/accounting firms (i.e., banking knowledge is required).
+ Strong business and product knowledge in global markets, asset management and banking will be desirable.
+ Strong knowledge of applicable Singapore and/or regional banking/capital market laws & regulations and competency in advising on regulatory and conduct matters is required.
+ Regulatory compliance experience strongly preferred.
+ The candidate must have analytical skills with experience in effectively processing information on various subjects.
+ Strong interpersonal, communication (written and presentation) skills and organizational abilities are essential
+ Able to interact professionally and diplomatically across all levels.
+ A self-starter and quick learner who is proactive with the ability to quickly learn about the business and identify key issues, and to analyze appropriate information.
+ Strong organizational and time management skills are required
+ Tech-savvy and Proficient in Microsoft Visio, Excel, Access, Word, PowerPoint and other reporting tools.
**Who We Are**
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you.
**Our Total Rewards Package**
Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.
**Additional Information:**
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
**Colleague Development**
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.
**Training & Onboarding**
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.
**Interview Process**
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
**Accommodation**
If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.
Compliance & Risk Management Intern
Posted today
Job Viewed
Job Description
Company
United Overseas Insurance Limited
Designation
Compliance & Risk Management Intern
Date Listed
15 Sep 2025
Job Type
Entry Level / Junior Executive
Intern/TS
Job Period
Immediate Start, For At Least 3 Months
Profession
Accounting / Auditing / Taxation
Industry
Insurance
Location Name
Singapore
Allowance / Remuneration
$1,200 - 1,500 monthly
Company Profile
UOI is a member of the UOB group and focuses on retail and commercial general insurance. Founded in 1971, UOI was quickly recognised in the business community and in just seven years, UOI was listed on the Singapore Exchange. UOI's profitable growth over the years reflects its prudence and financial strength.
Job Description
About your role:
We are looking for an intern to help us turn company policies into clear, easy-to-follow procedures and guidelines that staff across UOI can use. You will work with teams from the Compliance & Risk Management Department as well as other divisions to ensure that policy requirements are operationalised into well-structured documentation that supports our business operations. You will gain hands-on experience in technical writing, process documentation and cross-functional collaboration within UOI.
What you'll do:
- Assist in drafting and updating procedures and guidelines based on company policies
- Work closely with different divisions to understand policy objectives and operational processes
- Translate policy requirements into user-friendly procedures and guidelines
- Ensure clarity, consistency and standardisation across all documentation
What you'll need for the role:
- Experience in technical writing is an advantage
- Familiarity with Microsoft Office (Word, Excel and PowerPoint)
- Logical thinker who can break down policy requirements into step-by-step procedures and guidelines
- Good command of written and spoken English
Application Instructions
Please email your updated CV to and indicating your earliest commencement date and the duration that you can commit for the internship.
We regret to inform that only shortlisted candidate will be notified.
Apply for this position
Compliance & Risk Management Intern
Posted today
Job Viewed
Job Description
Company
United Overseas Insurance Limited
Designation
Compliance & Risk Management Intern
Date Listed
15 Sep 2025
Job Type
Entry Level / Junior Executive
Intern/TS
Job Period
Immediate Start, For At Least 3 Months
Profession
Accounting / Auditing / Taxation
Industry
Insurance
Location Name
Singapore
Allowance / Remuneration
$1,200 - 1,500 monthly
Company Profile
UOI is a member of the UOB group and focuses on retail and commercial general insurance. Founded in 1971, UOI was quickly recognised in the business community and in just seven years, UOI was listed on the Singapore Exchange. UOI's profitable growth over the years reflects its prudence and financial strength.
Job Description
About your role:
We are looking for an intern to help us turn company policies into clear, easy-to-follow procedures and guidelines that staff across UOI can use. You will work with teams from the Compliance & Risk Management Department as well as other divisions to ensure that policy requirements are operationalised into well-structured documentation that supports our business operations. You will gain hands-on experience in technical writing, process documentation and cross-functional collaboration within UOI.
What you'll do:
- Assist in drafting and updating procedures and guidelines based on company policies
- Work closely with different divisions to understand policy objectives and operational processes
- Translate policy requirements into user-friendly procedures and guidelines
- Ensure clarity, consistency and standardisation across all documentation
What you'll need for the role:
- Experience in technical writing is an advantage
- Familiarity with Microsoft Office (Word, Excel and PowerPoint)
- Logical thinker who can break down policy requirements into step-by-step procedures and guidelines
- Good command of written and spoken English
Application Instructions
Please email your updated CV to and indicating your earliest commencement date and the duration that you can commit for the internship.
We regret to inform that only shortlisted candidate will be notified.
Regulatory Compliance Officer
Posted today
Job Viewed
Job Description
We are looking for a mature & experienced individual who is part of the Compliance Team to strengthen and maintain the Compliance framework of the Bank. The incumbent will work closely with the Head of Compliance and all lines of Business in Regulatory Compliance (Core Compliance) and AML/CFT & Financial Crime. This role provides an opportunity to be a key member in, while safeguarding the Bank, driving innovation in compliance risk management, and developing creative & practical solutions that support sustainable business growth.
Main role & responsibilities:
To focus on Singapore regulatory compliance including AML/CFT.
To handle regulatory compliance queries & matters, as assigned.
To review and maintain (annually and as needed) the Compliance Manual and associated P&Ps and ensure P&Ps are aligned with Head Office and Local Standards.
To perform compliance monitoring; To assist in reviewing the existing compliance monitoring program to design or institute new monitoring where relevant.
To liaise with Business Lines – Corporate Banking, Investment Banking and Capital Markets Departments and support compliance requirements/framework on new Business initiatives.
To act as person-in-charge of the following:
Registration of Authorized/RNF Representatives
- Coordinate with HR on the required fit and proper checks for Authorized Representatives
- Other regulatory submissions relating to regulated business and activities
Market conducts requirements e.g. Personal Account Dealing Policy, OTC Derivatives Trading Policy, Market Conduct Policy
To assist in 2ndline review of KYC (FI and/or Corporates).
To assist in or coordinate MAS survey, new or changed regulations or Industry papers mapping or gap analysis.
To provide and/or coordinate compliance training e.g. periodic/refresh, new staff induction.
Any other matters as and when assigned.
Requirements:
5-7 years of experience in regulatory compliance in relation to MAS regulations i.e. Banking Act, SFA/FAA .
Preferably with exposure in corporate & investment banking and/or capital markets business
Bachelor's degree holder in the field of Banking/Finance, or other business-related fields
Analytical and detail-oriented
With strong compliance mindset and good interpersonal skills
Mature and a self-motivator
Regulatory Compliance Officer
Posted 13 days ago
Job Viewed
Job Description
We are looking for a mature & experienced individual who is part of the Compliance Team to strengthen and maintain the Compliance framework of the Bank. The incumbent will work closely with the Head of Compliance and all lines of Business in Regulatory Compliance (Core Compliance) and AML/CFT & Financial Crime. This role provides an opportunity to be a key member in, while safeguarding the Bank, driving innovation in compliance risk management, and developing creative & practical solutions that support sustainable business growth.
Main role & responsibilities:
- To focus on Singapore regulatory compliance including AML/CFT.
- To handle regulatory compliance queries & matters, as assigned.
- To review and maintain (annually and as needed) the Compliance Manual and associated P&Ps and ensure P&Ps are aligned with Head Office and Local Standards.
- To perform compliance monitoring; To assist in reviewing the existing compliance monitoring program to design or institute new monitoring where relevant.
- To liaise with Business Lines – Corporate Banking, Investment Banking and Capital Markets Departments and support compliance requirements/framework on new Business initiatives.
- To act as person-in-charge of the following:
- Registration of Authorized/RNF Representatives
- Coordinate with HR on the required fit and proper checks for Authorized Representatives
- Other regulatory submissions relating to regulated business and activities
- Market conducts requirements e.g. Personal Account Dealing Policy, OTC Derivatives Trading Policy, Market Conduct Policy
- To assist in 2ndline review of KYC (FI and/or Corporates).
- To assist in or coordinate MAS survey, new or changed regulations or Industry papers mapping or gap analysis.
- To provide and/or coordinate compliance training e.g. periodic/refresh, new staff induction.
- Any other matters as and when assigned.
Requirements:
- 5-7 years of experience in regulatory compliance in relation to MAS regulations i.e. Banking Act, SFA/FAA .
- Preferably with exposure in corporate & investment banking and/or capital markets business
- Bachelor's degree holder in the field of Banking/Finance, or other business-related fields
- Analytical and detail-oriented
- With strong compliance mindset and good interpersonal skills
- Mature and a self-motivator
Regulatory Compliance
Posted today
Job Viewed
Job Description
Job Description
As part of the Regulatory Compliance Team, the hired candidate is expected to perform the following duties, and not limited to:
Regulatory Liaison and Stakeholder Management
Assist the Regulatory Compliance Manager in liaising with regulatory authorities and government agencies (eg. MAS/ABS/ACRA etc.)
- Manage both internal and external stakeholders to ensure timely and effective communication
Handle inquiries, RFI (request for information) from Head Office and regulatory authorities on a timely basis by working with internal stakeholders
Compliance Monitoring and Advisory
Monitor, track and interpret changes in local and international regulations, including those from the Monetary Authority of Singapore (MAS), and assess their impact on the bank's operations.
- Assist in evaluating new products and services to ensure regulatory compliance.
- Serve as a point of contact for business units, providing regulatory advice and guidance on compliance matters.
Perform compliance monitoring and testing on bank's processes and operations against the bank's P&P and manuals
Management of Compliance Programs and Documentations
Update and manage the branch's Obligation Register, Policies and Procedures, Compliance Monitoring Program
- Assist in the development, implementation, and review of internal policies and procedures to ensure compliance with applicable laws and regulations.
- Assist in the preparation of regular and ad-hoc compliance related reports for reporting to Head Office and/or regulatory authorities
Assist in the preparation of monthly Compliance/Risk Committee agenda
Management of Audits (Internal/External)
Assist the Regulatory Compliance Manager in the management of external and internal audits
Manage external and internal audit findings and recommendation by ensuring proper and timely remediation of issues
Support and Training
Support the Risk Management, Regulatory Reporting and Financial Crime Compliance teams in identifying, assessing, and mitigating compliance-related risks to the business.
- Support and conduct trainings for bank employees on compliance-related topics
Job Requirements
- 1 year of relevant experience in compliance/audit/regulatory reporting/supervision, preferably in the banking or financial services industry or regulatory authority (Fresh graduates are welcome to apply and will be considered for the role)
- Team player with a positive attitude, good communication and interpersonal skills
- Self-motivated and able to work independently
- Strong analytical thinking with attention to details
- Keen interest to develop skillsets in regulatory compliance for the banking and finance sector
- Bachelors' Degree (preferably in Banking and Finance/Business/Accounting/Law)
- Any other relevant certifications or achievements (eg. ICA/ACAMS) are not necessary but will be an advantage
Senior Lead Clinical Research Associate, Research Compliance Management
Posted today
Job Viewed
Job Description
Overview
We are seeking a Senior Lead Clinical Research Associate to oversee clinical research compliance management across SingHealth institutions. In this role, you will ensure adherence to regulatory requirements including the Human Biomedical Research Act, Health Products Act, International Council for Harmonisation - Good Clinical Practice guidelines and relevant Standard Operating Procedures.
Responsibilities
Planning and conducting monitoring visits
Preparing comprehensive post-visit reports
Recommending preventive and corrective measures for compliance
Ensuring resolution of findings
Providing administrative support to departmental operations
Developing education programmes
Training new Clinical Research Associates
Providing supervisory monitoring and chairing department meetings
Qualifications
At least 10 years of relevant experience in clinical trials, including clinical trials monitoring with 4 years in a supervisory or management role
Strong interpersonal, leadership and communication skills (both verbal and written)
Demonstrated analytical, problem-solving and organisational skills
Ability to work independently and collaboratively, with proven capability to prioritise tasks and manage competing deadlines
Proficiency with Microsoft Office applications
#J-18808-Ljbffr
Be The First To Know
About the latest Compliance management Jobs in Singapore !
Programme Management Executive (Operations & Regulatory Compliance)
Posted 4 days ago
Job Viewed
Job Description
Key Roles and Responsibilities
Programme Management
- Process and manage enrolled learners’ full journey under WSQ/Non-WSQ programmes
- Managing assigned course portfolio encompassing individual and corporate enrolments
- Assist in the coordination of administrative matters for inbound/outbound programmes
- Prepare materials and conduct Learner Orientation for new intakes
- Liaise with Sales Department to facilitation the enrolment process
- Setting up of Student Management System (AIMS) & Training Partner Gateway (TPG) to ensure prompt commencement of scheduled intakes
Grant Management
- Process and validate enrolled learners’ grant applications in accordance with respective Government Agency’s funding criteria
- Monitor and track status of allocated grants to ensure timely intervention is carried out where necessary
Data Management
- Prompt and timely updating of AIMS records
- Maintain and update learner’s status in AIMS and Course Tracking Report (enrolment, defer, withdrawal, graduated, funding status etc)
- Track and monitor Learners’ evaluation survey, prepare report for Manager/HOD for analysis and intervention plans where necessary
Adult Educator Administration
- Conduct briefing for Adult Educator to ensure course(s) assigned are delivered promptly
Examination Management
- Coordinate with Enterprise & Learning Solutions Department on examination arrangement and implementation
- Conduct validation of examination results for Manager/HOD approval prior to official release of results
Ad-hoc Assignments
- Proactiveness in suggestions or improvement ideas for operational effectiveness and efficiency
- Assist the Manager/HOD in ad-hoc assignments
Qualifications, Knowledge And Experience
- Possess at least a Diploma or equivalent, in any field.
- Preferably with at least 2 years of relevant experience in the PEI, Adult Training and Education industry.
- Familiar with CPE and SSG policies and guidelines.
- Meticulous, strong problem-solving and time-management skills
- Good interpersonal skills and able to engage and communicate with internal and external stakeholders
- Highly adaptable, able to work independently and multi-task in a dynamic environment as well as function as a team player
- Proficient in the use of Microsoft Word, Excel and PowerPoint
Compliance Officer/ Regulatory Compliance
Posted today
Job Viewed
Job Description
We are seeking a Compliance Associate / Officer to join our client's growing team in Singapore. This expansion role is designed to strengthen their compliance function and ensure adherence to regulatory requirements, while supporting business growth across products such as Derivatives, Securities, and Retail CFDs. You will play a key role in managing regulatory compliance and reputational risks, advising stakeholders, updating policies, and handling regulatory interactions.
Key Responsibilities
- Provide compliance advice to business units including Derivatives, Securities, and Retail CFDs.
- Conduct compliance reviews, compliance testing, and trade surveillance.
- Prepare licensing applications, regulatory submissions, research, management information, and compliance
reports.
- Review marketing materials, regulatory changes, and policies and procedures to ensure compliance with
requirements.
- Advise front, middle, and back-office functions (Business, Finance, HR, Operations, Risk) on regulatory topics.
- Support audits, investigations, and queries from regulators and exchanges.
- Manage compliance and reputational risks by ensuring alignment with laws and regulations.
What We're Looking For
- 1 to 5 years of experience in regulatory compliance within financial services or a regulatory environment.
- Strong working knowledge of Singapore financial regulations.
- Willingness to collaborate with a diverse team, including professionals from regulators, banks, and law firms.
- What Will Make You Stand Out
- Product knowledge in derivatives (OTC and ETD), leveraged FX, and CFDs, including compliance testing and trade
surveillance.
- Previous experience in brokerage arms of banks or financial services firms.
University degree in accounting, business, finance, law, or related fields.
Professional compliance certification is an advantage.
If you are passionate about compliance, thrive in a dynamic environment, and are eager to contribute to a collaborative and high-performing team, we'd love to hear from you. Please share your CV with
IT Consultant (IT Compliance & Risk Management)
Posted 9 days ago
Job Viewed
Job Description
Reporting to the Principal IT Consultant, this role supports the Communications & Information Technology Division by ensuring robust IT Governance, Risk & Compliance (GRC) which includes development, implementation, and monitoring of IT governance frameworks, policies, processes to ensure the organisation’s IT practices align with regulatory requirements, industry standards, and strategic business goals.
Key Responsibilities:
- Drive organisational awareness and engagement to support IT GRC objectives.
- Manage and coordinate IT audits by working with internal stakeholders to gather required information and review submissions to auditors.
- Ensure IT policies, procedures and controls are up to date, properly documented with relevant stakeholders, and aligned with current processes to reduce risk.
- Develop, maintain, review and report on the IT Risk Register.
- Perform internal control testing or sampling checks to ensure compliance with IT policies and procedures.
- Schedule and participate in periodic risk self-assessments, and track remediation action plans to closure.
- Support initiatives to assess the adequacy and effectiveness of IT controls and policies and oversee remediation activities to address compliance gaps.
- Coordinate with relevant stakeholders on quarterly IT Disaster Recovery (ITDR) exercises and follow-up actions.
- Consolidate IT incidents and conduct root cause analysis.
- Identify gaps in IT processes and work with stakeholders to implement remediation measures (e.g. work process gaps in Low Code/No Code platforms).
- Assist in reviewing meeting minutes of quarterly division and IT committee meetings.
Job Requirements
- Bachelor’s degree in Information Technology, Computer Science or a related field, with at least 8 years’ experience in IT governance, audits and risk management.
- Proven experience with ISO27001 compliance efforts; certification experience is highly desirable.
- Strong knowledge and experience with standards and frameworks such as ISO27001:2022, Cybersecurity Trustmark and Personal Data Protection Act (PDPA).
- Strong analytical and problem-solving skills.
- Ability to work independently as well as collaboratively across teams.
- Strong written and verbal communication skills, with the ability to engage stakeholders at all levels.
- Positive attitude, proactive mindset and an excellent team player.