Compliance Manager / Senior Compliance Associate – Brokerage Firm

The Role We are partnering with a brokerage firm that is seeking a Compliance Manager / Senior Compliance Associate in Singapore. This is an excellent opportunity for a compliance professional to join a well-regarded financial institution and play a key role in regulatory advisory, compliance monitoring, surveillance, and policy governance. The position offers broad exposure across front-to-back-office stakeholders within a regulated trading environment. Responsibilities Provide compliance support and guidance to business and operational teams Conduct compliance monitoring, surveillance reviews and AML testing activities Support regulatory reporting, licensing and representative registration matters Review and enhance compliance policies, procedures and governance frameworks Monitor regulatory developments and support implementation of new requirements Deliver compliance training and awareness initiatives across the business Requirements Approximately 5+ years of compliance experience within brokerage, capital markets, banking or financial services Strong compliance advisory experience partnering with front office and business stakeholders Good understanding of MAS regulations, SFA, FAA, SGX Rules and related regulatory requirements Experience in compliance monitoring, surveillance, AML and regulatory compliance activities Ability to interpret regulations and provide practical compliance guidance to the business Strong communication, stakeholder management and analytical skills Prior experience within a brokerage or securities trading environment would be advantageous

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