Compliance Officer
Ethos Beath Chapman Idibu ·www.ethosbc.com
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As part of its continued expansion, a growing securities brokerage and capital markets firm is looking for an experienced Compliance Assistant Vice President (AVP) generalist to assist in managing the firm's regulatory risk.
In this role, you will assist in the creation, implementation, and update of compliance policies and procedures, and participate in the firm's strategic projects and initiatives with other business units, including the new product approval process, providing regulatory and compliance advice. You will provide regulatory compliance advice to relevant business units, conduct transaction monitoring, trade surveillance, and e-communication surveillance across business lines, and review marketing materials to ensure adherence to regulatory requirements. You will also assist in coordinating internal and external audits, design and deliver compliance training, maintain the compliance and outsourcing register, and take on other duties as assigned.
The ideal candidate will possess a minimum of 5 years of demonstrated working experience in Compliance, with previous experience at a Capital Markets Services Licensee advantageous. Candidates should have knowledge of the Securities and Futures Act 2001, Financial Advisers Act 2001, Personal Data Protection Act 2012, and Singapore Exchange Regulations, along with an understanding of sales and trading products and practices.
If you’re interested, please apply via the link or email your updated resume to wanyee.pang@ethosbc.com.
WP
Reg No. R2094093
BeathChapman Pte Ltd
Licence no. 16S8112
In this role, you will assist in the creation, implementation, and update of compliance policies and procedures, and participate in the firm's strategic projects and initiatives with other business units, including the new product approval process, providing regulatory and compliance advice. You will provide regulatory compliance advice to relevant business units, conduct transaction monitoring, trade surveillance, and e-communication surveillance across business lines, and review marketing materials to ensure adherence to regulatory requirements. You will also assist in coordinating internal and external audits, design and deliver compliance training, maintain the compliance and outsourcing register, and take on other duties as assigned.
The ideal candidate will possess a minimum of 5 years of demonstrated working experience in Compliance, with previous experience at a Capital Markets Services Licensee advantageous. Candidates should have knowledge of the Securities and Futures Act 2001, Financial Advisers Act 2001, Personal Data Protection Act 2012, and Singapore Exchange Regulations, along with an understanding of sales and trading products and practices.
If you’re interested, please apply via the link or email your updated resume to wanyee.pang@ethosbc.com.
WP
Reg No. R2094093
BeathChapman Pte Ltd
Licence no. 16S8112
Frequently asked questions
Who is hiring for the Compliance Officer role?
Ethos Beath Chapman Idibu is hiring for the Compliance Officer position, a Shazamme client. Apply directly on the employer's career site.
Where is the Compliance Officer job located?
The Compliance Officer role with Ethos Beath Chapman Idibu is based in Singapore, SG.
What does the Compliance Officer role pay?
Ethos Beath Chapman Idibu lists the Compliance Officer role at up to SGD 8,000 per month.
Is the Compliance Officer role full-time or contract?
This is a full time position at Ethos Beath Chapman Idibu.
What experience level is the Compliance Officer role?
The Compliance Officer position is aimed at mid-level candidates.
How do I apply for the Compliance Officer role at Ethos Beath Chapman Idibu?
Apply directly on Ethos Beath Chapman Idibu's career page via the Apply button on this listing. ZammeJobs links straight through to the employer's ATS — no third-party form, no resume database.