Legal & Compliance Associate | < 5 PQE | Securities | Singapore

Job Title
Legal & Compliance Associate | < 5 PQE | Securities | Singapore
Job Location
Job Type
Job Description

My client, an Asian securities firm is looking for a Legal & Compliance associate. They cover 6 areas of business. 


  • Support communications with key stakeholders, including MAS, SGX, and auditors
  • Help maintain compliance-related programs, including but not limited to:
    • Trade monitoring for clients and employees
    • Information security
    • Anti-money laundering
    • Account opening and know-your-customer (KYC)
    • Internal and external audits
    • Compliance-related training, licensing and "fit and proper" criteria for staff
    • Reputational risk
  • Enforce compliance policies
  • Manage compliance data and reports – both regular and ad-hoc
  • Track and maintain company and employee licensing and registrations and other key documents
  • Coordinate Annual General Meetings, Corporate Secretarial and related matters
  • Coordinate and manage legal-related matters with the appropriate external parties
  • Lead / participate in ad-hoc projects, including new business development
  • Provide advice on compliance and legal-related matters
  • Work closely with compliance and legal functions of other affiliate offices
  • Other compliance and legal-related tasks as required


  • Demonstrate knowledge of the Singapore legal and regulatory environment
  • Be flexible to manage and contribute to ad-hoc projects or other issues as they arise 

Apply for this job

Interested candidates please submit your resume to or contact Sherlene Ong at 6535 8255 for a confidential discussion.


Sherlene Ong Xinhui (R1546679)

Banking & Finance
Compliance and Regulatory