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Compliance Manager/Assistant Manager Compliance Officer

Phillip Securities Pte Ltd


Banking|Finance 3 Years Bachelor's Degree

Job description


We are looking for compliance personnel to assist in enhancing the compliance risk framework of the company.  The candidate will help to manage and execute the compliance programs, provide policy guidance and to carry out compliance training for the company’s diversified investment business groups.  Depending on the candidate’s experience, duties will include the following:
  • Conduct compliance reviews and monitoring/surveillance across the company’s business activities;
  • Develop risk-based compliance programs to facilitate the execution of compliance reviews and monitoring;
  • Advise the business units in meeting regulatory requirements through implementing appropriate compliance risk policies, assisting with the design and implementation of risk and compliance management initiatives, and enhancing and improving internal processes and procedures;
  • Review the completed risk and compliance assessment returns from each area of the business, identifying trends and areas of concern and working with the business units to reduce any unacceptable exposures to regulatory risk;
  • Provide compliance training and support through issuing of internal compliance updates and training modules

Job Requirements

  • Experience in compliance, audit or risk management in the Futures, Financial Advisory or Fund Management industry
  • Should have knowledge of key applicable regulations such as the Securities & Futures Act, Financial Advisers Act, MAS Notices and Guidelines, AML/CFT regulations
  • Good writing and communication skills
  • Good interpersonal, influencing and networking skills
  • Team player

If you are looking for an environment of growth and opportunities, please direct a full resume, stating the position applied, present and expected salaries to the HR department by clicking on "Apply Now" button below.

We regret that only shortlisted candidates will be notified.

Brought to you by Phillip Securities Pte Ltd (A member of PhillipCapital)

Job Role

Banking and Finance

Position Level


Phillip Securities Pte Ltd

Since 1975, PhillipCapital has grown as an integrated Asian financial house with a global presence that offers a full range of quality and innovative services to retail, corporate and institutional customers. Our comprehensive suite of financial products and services includes fund management, managed accounts, unit trusts, insurance planning, regular savings, contracts for difference,...