Regulatory Compliance Officer

Singapore, Singapore $90000 - $120000 Y KOOKMIN BANK CO., LTD. Singapore Branch

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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

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Regulatory Compliance Officer

049315 Collyer Quay, Singapore $9000 Monthly KOOKMIN BANK CO., LTD. Singapore Branch

Posted 9 days ago

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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

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Compliance Officer/ Regulatory Compliance

Singapore, Singapore $90000 - $120000 Y KS Talent Solutions

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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

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Senior Regulatory Compliance Officer

Singapore, Singapore MOOLAHGO PTE. LTD.

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Job Description

Roles & Responsibilities

About the Role

Moolahgo Pte Ltd, a licensed Major Payment Institution under the Singapore Payment Services Act (PSA), is seeking an experienced Senior Regulatory Compliance Officer to lead and strengthen our compliance framework. The role is critical to ensuring that the company fully meets its obligations under the PSA and related MAS Notices, while supporting our fast-growing FinTech business across cross-border payments, merchant acquiring, and e-wallet services.

Key Responsibilities

Regulatory Compliance & MAS Engagement

  • Liaison with MAS: Serve as the key contact for MAS on all regulatory matters, inspections, and correspondence.
  • PSA Compliance Management: Oversee compliance with the Payment Services Act, including safeguarding obligations, capital requirements, and reporting standards.
  • Monitor and interpret changes in MAS Notices (e.g., PSN01, PSN04, AML/CFT guidelines, outsourcing notices) and translate them into actionable policies.

Policy Development & Implementation

  • Working closely with Senior AML/CFT Compliance Officer to design, review, and update internal compliance policies, manuals, and procedures to align with PSA and other applicable regulations.
  • Ensure effective AML/CFT frameworks and controls, including customer due diligence (CDD), ongoing monitoring, sanctions screening, and reporting of suspicious transactions.

Risk Assessment & Internal Controls

  • Conduct regular enterprise-wide risk assessments, lead independent testing of controls to ensure operational compliance and detect gaps promptly.

Reporting & Training

  • Prepare and submit regulatory filings, including safeguarding and periodic returns.
  • Deliver compliance training to management and staff, promoting a strong culture of compliance and ethical conduct across the organization.

Internal Audit & Advisory

  • Coordinate with external auditors for independent reviews of key compliance areas.
  • Advise senior management and the Board on emerging regulatory risks and recommend risk-mitigating measures.
Qualifications & Experience
  • Education: Bachelor's degree in Law, Finance, Accounting, or related field; CAMS or ICA certification preferred.
  • Experience: Minimum 7–10 years of compliance experience in financial services, with at least 3 years in a senior role focusing on Payment Services Act or equivalent regulatory regimes.
  • In-depth knowledge of MAS Notices, AML/CFT requirements, technology risk management, and cross-border payment services.
  • Proven track record of dealing with MAS inspections and regulatory audits.
Key Skills & Attributes
  • Strong analytical, problem-solving, and risk assessment skills.
  • Excellent written and verbal communication; able to engage confidently with regulators and senior stakeholders.
  • Proactive, detail-oriented, and able to operate in a fast-paced, high-growth environment.
  • Strong leadership to guide and mentor junior compliance staff.
Tell employers what skills you have

Due Diligence
Risk Assessment
Regulatory Compliance
Outsourcing
Risk Management
Internal Controls
Audits
Assessment Skills
Screening
Audit
Financial Services
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Regulatory Compliance

Singapore, Singapore $60000 - $80000 Y WOORI BANK

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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:

  1. Regulatory Liaison and Stakeholder Management

  2. Assist the Regulatory Compliance Manager in liaising with regulatory authorities and government agencies (eg. MAS/ABS/ACRA etc.)

  3. Manage both internal and external stakeholders to ensure timely and effective communication
  4. Handle inquiries, RFI (request for information) from Head Office and regulatory authorities on a timely basis by working with internal stakeholders

  5. Compliance Monitoring and Advisory

  6. 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.

  7. Assist in evaluating new products and services to ensure regulatory compliance.
  8. Serve as a point of contact for business units, providing regulatory advice and guidance on compliance matters.
  9. Perform compliance monitoring and testing on bank's processes and operations against the bank's P&P and manuals

  10. Management of Compliance Programs and Documentations

  11. Update and manage the branch's Obligation Register, Policies and Procedures, Compliance Monitoring Program

  12. Assist in the development, implementation, and review of internal policies and procedures to ensure compliance with applicable laws and regulations.
  13. Assist in the preparation of regular and ad-hoc compliance related reports for reporting to Head Office and/or regulatory authorities
  14. Assist in the preparation of monthly Compliance/Risk Committee agenda

  15. Management of Audits (Internal/External)

  16. Assist the Regulatory Compliance Manager in the management of external and internal audits

  17. Manage external and internal audit findings and recommendation by ensuring proper and timely remediation of issues

  18. Support and Training

  19. Support the Risk Management, Regulatory Reporting and Financial Crime Compliance teams in identifying, assessing, and mitigating compliance-related risks to the business.

  20. 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
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Regulatory Compliance Specialist

Singapore, Singapore $120000 - $180000 Y BRUNEL INTERNATIONAL SOUTH EAST ASIA PTE. LTD.

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Job Description

Job Summary:

We are seeking a highly skilled Regulatory Compliance Specialist with a strong background in maritime and industrial regulatory frameworks.

The ideal candidate will have hands-on experience with DNV class rules , Safety Case regimes , and Independent Verification Body (IVB) schemes , as well as a solid understanding of European regulatory directives such as PED, MED, ATEX, and Machinery Directives .

Key Responsibilities:

  • Ensure compliance with DNV class rules and other relevant classification society standards.
  • Develop, implement, and maintain Safety Case documentation in accordance with regulatory requirements.
  • Lead and manage Independent Verification Body (IVB) processes, including planning, execution, and reporting.
  • Interpret and apply European regulations including:
  • Pressure Equipment Directive (PED)
  • Marine Equipment Directive (MED)
  • ATEX Directive (explosive atmospheres)
  • Machinery Directive
  • Liaise with internal engineering, HSE, and project teams to ensure regulatory compliance is embedded in design and operational phases.
  • Coordinate with external regulatory bodies and certification agencies.
  • Conduct audits, inspections, and gap analyses to identify and mitigate compliance risks.
  • Provide training and guidance to internal stakeholders on regulatory requirements and best practices.

Requirements:

Education & Experience:

  • Bachelor's degree in Engineering, Safety, or a related technical field.
  • Minimum 10 years of experience in regulatory compliance within the maritime, offshore, or industrial sectors.
  • Proven experience with DNV class rules and Safety Case regimes .
  • Demonstrated success in managing IVB schemes .
  • Strong knowledge of European directives (PED, MED, ATEX, Machinery).

Skills:

  • Excellent understanding of regulatory frameworks and risk management principles.
  • Strong analytical and problem-solving skills.
  • Effective communication and stakeholder management abilities.
  • Detail-oriented with a proactive approach to compliance.

Preferred Qualifications:

  • Certification in regulatory compliance, risk management, or safety engineering.
  • Experience working in offshore oil & gas, marine, or heavy industrial environments.
    Familiarity with other international standards (e.g., ISO, IEC).

Brunel International S.E.A Pte. Ltd

UEN No: R

EA License No: 16S8067

Shinu Alexander: R

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Manager, Regulatory Compliance

Singapore, Singapore $90000 - $120000 Y Delivery Hero

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Job Description

Company Description

foodpanda is part of the Delivery Hero Group, the world's pioneering local delivery platform, our mission is to deliver an amazing experience—fast, easy, and to your door. We operate in over 70+ countries worldwide. Headquartered in Berlin, Germany. Delivery Hero has been listed on the Frankfurt Stock Exchange since 2017 and is part of the MDAX stock market index.

Job Description

Responsibilities

  • Maintain a comprehensive compliance program and governance structure, including but not limited to reviewing the adequacy of regulatory compliance strategies, policies and frameworks
  • Maintain foodpanda's Major Payments Licence with the MAS
  • Act as the primary contact with MAS, managing inquiries, reviews and regulatory submissions to MAS
  • Serve as a business adviser and subject matter expert on regulatory compliance for existing and new products/features, including but not limited to identifying and assessing Money Laundering ("ML") / Terrorism Financing ("TF") risks and developing mitigating controls
  • Drive the implementation, execution and monitoring of compliance programmes, including but not limited to Anti-Money Laundering/Countering the Financing of Terrorism ("AML/CFT") / Know Your Customer ("KYC") / Transaction Monitoring ("TM)") / Sanctions Monitoring topics
  • Implement and conduct regulatory compliance training programs on an ongoing basis
  • Collaborating with technology and product teams in assessing and mitigating technology risk and regulatory risks
  • Monitor AML/CFT industry developments and keep updated of new regulations in Singapore, and ensure processes are in place to keep the business updated on such developments. Analyse information on legal and regulatory trends and the impact these have on the company's AML/CFT framework
  • Initiating, and promptly replying to ad-hoc compliance issues, and supporting business stakeholders and management in understanding compliance-related risks and management of such risks
  • Providing reports to management on a periodic basis on levels of compliance and/or any issues arising from specific monitoring activities
  • Preparing and submitting regulatory returns and STR filings
  • Supporting the coordination of audits (internal/external) on regulatory compliance
  • Partnering closely with cross-functional stakeholders and liaising with our APAC and Berlin HQ compliance teams to ensure common standards and practices
  • Mentor and develop the regulatory compliance team, providing guidance, training, and oversight to build subject matter expertise

Qualifications

What you need to be successful:

  • Minimum 5 years of relevant experience in compliance roles (relating to AML) in financial services/financial technology/financial consulting firms, of which 2 years should be in a commercial/corporate setting
  • Direct experience in compliance in the Payments, Fintech or Financial Services industry would be advantageous, previous experience in working with the MAS/facilitating or maintaining a license application is a plus
  • Possess expert knowledge of MAS regulatory obligations in Singapore, including but not limited to the Payment Services Act 2019, and its relevant notices and forms.
  • Accreditation in CAMS (Certified Anti-Money Laundering Specialist) is a plus
  • Ability to work with global teams on compliance procedures or best practices
  • Commercially astute, highly-drive and pragmatic, with strong influence and interpersonal skills
  • Excellent communication skills, with the ability to effectively, and efficiently communicate compliance concepts including interpreting regulatory regulations to internal stakeholders.
  • Good interpersonal skills; organised and meticulous. Self-motivated, able to work with minimal supervision and under pressure
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Intern, Regulatory Compliance

Singapore, Singapore $24000 - $72000 Y Lion Global Investors Limited

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Job Description

Company

Lion Global Investors Limited

Designation

Intern, Regulatory Compliance

Date Listed

10 Oct 2025

Job Type

Entry Level / Junior Executive

Intern/TS

Job Period

From Dec 2025, For At Least 6 Months

Profession

Risk / Product / Project Management

Industry

Finance

Location Name

65 Chulia Street, OCBC Centre, Singapore

Address

65 Chulia St, Singapore

Map

Allowance / Remuneration

$1,500 monthly

Company Profile

As the dedicated asset management arm of Oversea-Chinese Banking Corporation (OCBC) Group which includes OCBC Bank and Great Eastern Assurance, LGI is one of the leading asset managers in Southeast Asia with S$4.7 billion (US 58.6 billion) in Assets Under Management as of 30 June 2025.

Job Description

  • Assist and carry out compliance reviews and monitoring to assess the effectiveness and efficiency of the controls and processes to comply with relevant regulations and internal Group and local framework and policies
  • Assist in the review and monitoring of the compliance programme for Anti-Money Laundering and Countering Terrorist Financing legislations and procedures
  • Assist in the review and monitoring of compliance with substantial shareholding reporting requirements
  • Assist in the ESG corporate reporting
  • Handle other compliance duties and ad-hoc projects as assigned

Job Requirements:

  • Undergraduate pursuing a degree in Business / Finance / Accountancy / Law or related fields
  • Proficient in Microsoft Office Applications
  • Independently motivated to deliver high quality work.
  • Attention to detail, careful and able to responsibly discharge duties assigned
  • Good team player
  • Good writing skills and attention to details
  • Good organization skills with ability to manage multiple tasks and work independently within short deadlines
  • Good communication and interpersonal skills
  • Fast learner who is self-motivated and an excellent team player with a "can do" attitude
  • Good IT and project management skills with knowledge in programming and coding would be an added advantage
  • Able to commit 6 months (full time)

Application Instructions

Please apply for this position by submitting your text CV using InternSG.

Please state your availability when applying.

Kindly note that only shortlisted candidates will be notified.

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Manager, Regulatory Compliance Management

Singapore, Singapore TD Bank

Posted 2 days ago

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Job Description

**Work Location** :
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.
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Compliance Associate/ Regulatory Compliance

Singapore, Singapore $60000 - $120000 Y KS CONSULTING PTE. LTD.

Posted today

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Job Description

About the Role

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.
  • Attention to detail with a proactive, hands-on approach to problem solving.
  • Agile mindset, collaborative spirit, and trustworthy team player.

Qualifications

  • 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

This advertiser has chosen not to accept applicants from your region.
 

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