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Regulatory Compliance (AVP)

Job Seekers Singapore Compliance Financial Services - Banking

Job Summary

  • Singapore
  • Permanent
  • BBBH777415
  • Mar 10, 2021
  • Competitive
Job Description

Our client, a reputable Securities brokerage firm is looking to hire for a Regulatory Compliance role (AVP) for a permanent role.

Job Scope

  • Working closely with business unit management to provide counsel, advice and support to the business on compliance related areas
  • Provide advisory services on transactional issues, for existing and new business initiatives and products
  • Manage on-going regulatory matters
  • Generate Compliance Rule, policies and procedures and related internal rules, or revise company existing Compliance Rule in line with Head Office policies and procedures.
  • To assist Head of Legal and Compliance to adhere and be in compliance with local regulation and Group directives.
  • Key focus on managing periodic KYC for existing clients
  • Provide constructive advice and proposals to Business side and Management in order to improve effectiveness and efficiency of business on perspective of Compliance, and activate those practically.
  • Maintain continuous and regular communication with our Head office and other group offices and make sure to maintain unified understanding and opinion for all businesses on legal and compliance perspectives.
  • Support to make necessary documents of various agreements and contracts for all businesses.


  • Regulatory compliance experience within securities brokerage
  • Around 5 years relevant working experience in a similar function and industry
  • Familiar with Securities & Futures Act, Financial Advisers Act and MAS Notices and Guidelines
  • Strong communication and interpersonal skills

Due to the nature of the role, only Singaporeans will be considered.

If you are interested in this position, please apply today or email Constance Cho

Morgan McKinley Pte Ltd

Constance Cho

EA License - 11C5502

Reg No - R1876688


Consultant Details

Consultant Details

Constance Cho
Constance Cho
  • Delivery Consultant | Banking Operations & Financial Services Corporate Governance
  • +65 6818 3178