Compliance Manager - Hyper-growth Fintech Brokerage Jobs in Singapore

    Compliance Manager – Hyper-growth Fintech Brokerage

    Permanent Christina Tay Email Job
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    • Category Financial Services
    • Industry FintechFinancial Services
    • Function Legal & Compliance
    • Consultant Christina Tay
    • License No 16S8060
    • Registration No R1658357
    • Job Ref No CR 21046
    • Salary S$100,000 - S$150,000


    We are partnering a technology-driven Hyper-growth Fintech Brokerage to expand their international business. Headquartered in the US, they have ambitious growth plans for Asia and is looking to hire the pioneer team in Singapore. This is an exciting opportunity for a well-rounded Compliance professional to join their regional headquarter.


    Reporting to the Head of Compliance Asia, this is a broad end-to-end Compliance role in a lean environment covering three main areas 1) Trade Surveillance 2) AML/CFT, KYC Onboarding, AML Transaction Monitoring 3) Regulatory Compliance – SFA, FAA & SGX Rules. You will be expected to set up the trade surveillance function and design its SOP and perform continuous monitoring in-line with MAS and SGX requirements. You will maintain and update policies and procedures, perform gap analysis, provide compliance advisory to the business etc. You will support the Head of Compliance in ad-hoc Compliance matters and this may also encompass Outsourcing, FATCA, CRS, PDPA matters.


    You are degree qualified with at least 5-8 years of relevant Compliance experience in Financial Services. Experience working for CMS Licensed entity / Retail Brokerage is preferred. You should have good product knowledge in equities, exchange traded funds/derivatives, mutual funds. You must have hands-on trade surveillance background. To succeed in this role, you must be a self-starter, thrive in a fast-paced dynamic start up environment.


    To apply, please submit your resume to Christina Tay at, quoting the job title and reference number CR 21046.  We regret that only shortlisted candidates will be notified.