Compliance Manager - Equities Compliance

Description

Compliance Manager - Equities Compliance

We are partnering a leading trading firm to recruit for an experienced

Compliance Manager - Equities Compliance

• . This role will be instrumental in ensuring the firm’s trading activities comply with relevant regulatory requirements and internal policies, while providing strategic compliance advisory to the front office. Key Responsibilities

Provide compliance advisory support to the equities trading desk and related functions Monitor regulatory developments and assess their impact on equities trading activities Develop and maintain policies, procedures, and controls to ensure compliance with applicable laws and regulations Conduct surveillance and monitoring of trading activities to identify potential issues or breaches Liaise with regulators, auditors, and internal stakeholders on compliance matters Lead or support internal investigations and risk assessments related to equities trading Deliver training and guidance to front office and support teams on compliance requirements Requirements

Minimum 8 years of experience in compliance within a trading or financial services environment, with a focus on equities Strong knowledge of relevant regulations (e.g., MAS, SEC, MiFID II) Excellent communication and stakeholder engagement skills Ability to work independently and thrive in a fast-paced environment Seniority level

Mid-Senior level Employment type

Full-time Job function

Legal Industries

Financial Services, Investment Banking, and Banking Referrals increase your chances of interviewing at Taylor Root by 2x Get notified about new Compliance Manager jobs in

Singapore, Singapore

Other Category

Management & Operations Sub Category

Compliance & Regulatory Affairs