Senior Compliance Executive


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;
  • Assist with reporting to regulators and senior management on regulatory compliance matters
  • Provide compliance training and support through issuing of internal compliance updates and training modules


  • Experience in compliance, audit or risk management in the financial industry (preference will be given to those with experience or knowledge of derivatives/futures compliance)
  • Knowledge of key applicable regulations such as the Securities & Futures Act, MAS Notices and Guidelines, AML/CFT regulations, SGX Rules will be considered as an advantage
  • Good writing and communication skills
  • Good analytical, interpersonal, influencing and networking skills
  • Strong attention to details
  • 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 at

We regret that only shortlisted candidates will be notified.

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