Regulatory Compliance Officer
coins
Full time Employee
Regulatory Compliance Officer
swissquote· Legal Services
About this role
Company Description
Building the bank of tomorrow takes more than skills.
It means combining our differences to imagine, discuss, code, develop, test, learn… and celebrate every step together. Share our vibes? Join Swissquote to unleash your potential.
Swissquote Group Holding Ltd is a Switzerland-based online banking group listed on the SIX Swiss Exchange, offering multi-asset trading and investment services to retail and institutional clients globally. Swissquote Pte Ltd, its Singapore subsidiary, is regulated by the Monetary Authority of Singapore and holds a Capital Markets Services licence under the Securities and Futures Act. It serves as the Group’s Asia-Pacific hub, providing dealing and custody services in capital markets products including securities, derivatives, and collective investment schemes.
We are all in at Swissquote. As an equal opportunity employer, we welcome candidates from all backgrounds, experiences and perspectives to join our team and contribute to our shared success.
Are you all in? Don’t be shy, apply!
Job Description
We are seeking an experienced Regulatory Compliance Officer to support our continued growth. This role is responsible for ensuring compliance with all applicable Singapore regulatory requirements across capital markets activities, including securities, exchange-traded and over-the-counter (OTC) derivatives, and collective investment schemes (CIS).
The role requires strong familiarity with MAS regulations, hands-on compliance experience, and the ability to partner closely with business units while maintaining robust governance standards. The key responsibilities are:
1. Regulatory Compliance & Advisory
• Ensure compliance with the Securities and Futures Act (SFA), relevant MAS Notices and Guidelines.
• Provide regulatory advice to the business units.
• Monitor regulatory developments from MAS and assess impact on business operations.
2. Policies, Controls & Frameworks
• Develop, review, and maintain compliance policies aligned with MAS requirements.
• Implement and enhance compliance monitoring programs and internal controls.
• Conduct compliance risk assessments and gap analyses.
3. Monitoring & Surveillance
• Review client onboarding processes in line with AML/CFT and suitability requirements.
• Monitor adherence to requirements on fair dealing, disclosure, and best execution.
4. Regulatory Reporting & Liaison
• Prepare and submit regulatory filings to MAS and other authorities
• Act as the liaison for regulatory inspections, audits, and queries.
• Support regulatory inspections and thematic reviews.
5. Training & Awareness
• Conduct regular compliance and AML/CFT training for staff.
• Promote awareness of MAS regulatory expectations and internal policies.
6. Product & Business Advisory
• Provide compliance input on new products and services.
• Participate in new business initiatives and ensure regulatory compliance at the design stage.
Qualifications
- Bachelor's degree in law, Finance, Business, or a related discipline.
- Minimum 8 years of relevant compliance experience in a CMS licensed firm or bank in Singapore.
- Strong working knowledge of Securities and Futures Act and MAS Notices and guidelines applicable to CMS licenses.
- Professional certifications such as CAMS, ICA Diploma in Compliance/AML is a plus.
- Experience with regional regulatory regimes (e.g., HK SFC) is a plus.
Key Competencies
- Strong regulatory interpretation and advisory capability.
- Attention to detail with a risk-focused mindset.
- Effective stakeholder management and communication.
- Ability to operate independently and manage competing priorities.
- High integrity and professionalism.
Additional Information
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Frequently Asked Questions
Is the salary disclosed for the Regulatory Compliance Officer position at swissquote?
The salary for this Regulatory Compliance Officer role at swissquote is not publicly listed. Click "Apply Now" to learn more about the compensation package on their official careers page.
Where is the Regulatory Compliance Officer position at swissquote located?
This Regulatory Compliance Officer role at swissquote is based in Singapore, Singapore, Singapore, Singapore, sg. The position is listed as on-site or hybrid. Check the full job description or apply directly to confirm the work arrangement.
Is the Regulatory Compliance Officer role at swissquote full-time or part-time?
This is listed as a Full time position. It is posted as a Regulatory Compliance Officer role in the Legal Services department at swissquote.
Which team or department does the Regulatory Compliance Officer at swissquote belong to?
This Regulatory Compliance Officer position is part of the Legal Services department at swissquote. See the full job description for more information about the team structure and responsibilities.
How do I apply for the Regulatory Compliance Officer position at swissquote?
Click the "Apply Now" button on this page. You will be redirected to swissquote's official application portal hosted on smartrecruiters where you can submit your application directly.
When was the Regulatory Compliance Officer job at swissquote posted?
This Regulatory Compliance Officer position at swissquote was posted on May 13, 2026. Apply as soon as possible — early applications are often reviewed first.
Regulatory Compliance Officer
swissquote
You'll be redirected to swissquote's official application page on SmartRecruiters.