Global Market Compliance Officer - Well-known investment house Jobs in Singapore

    Global Market Compliance Officer – Well-known investment house

    Permanent Gina Hui Email Job
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    • Category Financial Services
    • Industry Asset & Investment ManagementWholesale Banking and Global Markets
    • Function Legal & Compliance
    • Consultant Gina Hui
    • License No 16S8060
    • Registration No R2196467
    • Job Ref No 24227
    • Salary S$100,000 - S$150,000


    Our client, a well-known investment house is looking for an equities compliance professional with around 5 years’ of experience to join their regulatory and compliance team based in Singapore


    You will provide regulatory compliance support for the firm’s equity execution desk, portfolio risk and management group and investment groups with a focus on cash equities, ETFs, listed options and OTC equity derivatives. You will also work with legal colleagues and external counsel to manage relationships with regulators (e.g. MAS, SGX, SEC and FCA) and advise on the firm’s responsibilities on corporate actions involving its listed portfolio companies, statutory shareholding disclosures, MNPI and regulatory reporting


    You should have at least 5 years’ experience in a similar compliance and regulatory role at a financial institution, regulatory authority, broker-dealer or buy-side firm and you should have strong overall product knowledge and regulatory experience within equities and equities derivatives (including ETFs and listed options). To succeed in this role, you should have good understanding of regulations and investment monitoring requirements and possesses strong analytical skills, good working knowledge with data and able to think strategically

    To Apply

    To apply for this role, please submit your resume to Gina Hui at, quoting the job title and ref no. GH 24227. We regret that only shortlisted candidates will be notified.

    Registration No: R2196467 | Licence No: 16S8060