Regulatory Compliance Associate

Mon - Fri

Finance Industry

Raffles MRT

Responsibilities

Lead company’s supervision of members to ensure that they are fulfilling their obligations under the APEX Trading and Clearing Rulebooks

Review and strengthen frameworks, policies and procedures for member supervision

Monitor members on their compliance with the relevant Trading and Clearing Rules, and carry out disciplinary actions if necessary

Perform relevant processes under the company's Trading Procedures and Clearing Procedures

Develop and strengthen the compliance culture in the company and related entities

Review and implement policies and procedures to monitor and enhance APEX’s internal controls

Ensure company’s compliance with regulatory obligations under the Securities and Futures Act, and related regulations, including, but not limited to, submission of regulatory returns, assessment of potential non-compliance and breaches, and supporting departments in their compliance needs

Maintain effective communications and relationships with company’s regulators, such as the Monetary Authority of Singapore

Requirement

Minimum Degree or above in Accountancy

Minimum 3 years or above in relevant working in audit firms

We regret to inform you that only shortlisted candidates will be notified.

Choek Wei Qi Joel | R1877109

Recruit Lync Pte Ltd | 22C1000