Compliance Associate, Capital Markets, Singapore

Sloane Shorey Consulting, EA Licence No: 20S0307
Singapore, Singapore
$84,000 - $108,000
21 May 2022
24 May 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time

Compliance Associate, Capital Markets, Singapore

Regulatory advisory consulting role covering capital markets compliance in Singapore. Working for this global consultancy, you will give specialist advice on MAS regulations for capital markets businesses in Singapore and assist clients with complex regulatory projects. You will also contribute to creating technical research on relevant local and global regulations. The clients you will work with include brokerages and trading houses, investment banks and securities infrastructure.


Capital Markets Compliance & Regulatory Advisory
  • Advise clients on local regulatory compliance matters.
  • Drafting policies, procedures and compliance monitoring programmes
  • Assisting with regulatory matters including MAS licencing applications
  • Carrying out compliance health checks and periodic monitoring
  • Assisting with the delivery of Internal Audits
  • Developing training materials and assisting in training sessions
  • Responding to ad-hoc and routine regulatory queries
  • Keep abreast of regulatory developments, regulatory changes and industry news
  • Conduct research and assist colleagues with preparing material on topics of interest

Client Engagement
  • Develop and maintain professional relationships with clients
  • Participate in client briefings, events, meetings, etc on topical regulatory issues
  • Assist with marketing / BD (preparing proposals, writing articles, etc.)
  • Develop a thorough understanding of client businesses
  • Update details of client relationships

  • Compliance experience gained in a trading venue, investment bank, financial institution, legal practice, consultancy and/or the regulator
  • Understanding of capital markets
  • Knowledge of local regulatory challenges and 'hot topics'
  • First-hand experience with MAS and SGX rules and guidance for capital markets
  • Experience translating regulatory rules into policy

Indicative salary: $7kpm-$9kpm + bonus

Apply now for a confidential discussion on this career opportunity.

Sloane | Shorey

Sloane Shorey Consulting is a specialist search firm delivering compliance, conduct, controls and risk management recruitment across Asia Pacific. We are a Ministry of Manpower Licensed Employment Agency (EA License 20S0307).

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