Regulatory Compliance Associate

• Mon - Fri • Finance Industry • Raffles MRT Responsibilities • Lead company’s supervision of members to ensure that they are fulfilling their obligations under the APEX Trading and Clearing Rulebooks • Review and strengthen frameworks, policies and procedures for member supervision • Monitor members on their compliance with the relevant Trading and Clearing Rules, and carry out disciplinary actions if necessary • Perform relevant processes under the company's Trading Procedures and Clearing Procedures • Develop and strengthen the compliance culture in the company and related entities • Review and implement policies and procedures to monitor and enhance APEX’s internal controls • Ensure company’s compliance with regulatory obligations under the Securities and Futures Act, and related regulations, including, but not limited to, submission of regulatory returns, assessment of potential non-compliance and breaches, and supporting departments in their compliance needs • Maintain effective communications and relationships with company’s regulators, such as the Monetary Authority of Singapore Requirement • Minimum Degree or above in Accountancy • Minimum 3 years or above in relevant working in audit firms We regret to inform you that only shortlisted candidates will be notified. Choek Wei Qi Joel | R1877109 Recruit Lync Pte Ltd | 22C1000