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