Compliance Officer (Financial Services)

Location: Raffles Place, Singapore
Working Hours: Monday to Friday, 9:00am – 6:00pm
Salary: Up to $6,000 per month

Our client, a leading organisation within the financial markets industry, is seeking an experienced Compliance Officer– Financial Services to oversee member supervision, regulatory compliance and corporate governance functions.

This is an excellent opportunity for an experienced audit or financial services professional looking to move into a broader regulatory and governance-focused role.

Key Responsibilities

• Lead the supervision of members to ensure compliance with applicable Trading and Clearing Rules, policies and regulatory requirements.
• Review and strengthen frameworks, policies and procedures relating to member supervision and regulatory compliance.
• Review members’ financial returns, regulatory notifications and other submissions, and conduct off-site reviews and on-site inspections where required.
• Support the assessment and management of potential compliance breaches, including relevant disciplinary and follow-up actions.
• Ensure compliance with regulatory obligations under the Securities and Futures Act and related regulations, including regulatory submissions and internal control requirements.
• Maintain effective working relationships with regulators, including the Monetary Authority of Singapore (MAS), and support regulatory engagements.
• Strengthen internal corporate governance processes and provide support on Board, shareholder and Corporate Secretary matters.
• Act as Data Protection Officer and support other compliance, governance and regulatory functions as required.

Requirements

• Degree in Accountancy/ Finance.
• Minimum 2 years of relevant experience in audit, regulatory compliance, risk or related functions.
• Strong understanding of financial services regulations, internal controls and audit principles.
• Experience in regulatory compliance, member supervision, financial services audit or corporate governance will be an advantage.

📩 To apply, please click "Apply Now" or send your updated resume to dorothy@recruitlync.com or WhatsApp 8501 7683.

Ooi Shi Hui Dorothy (R1762852)
Recruit Lync Pte Ltd (22C1000)