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Old 26-05-2018, 08:40 PM
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Originally Posted by midcareerchange View Post
Hi everyone,

it has been enlightening reading up on how the fresh grads can get into compliance/AML functions. However, I would like to go further and ask for some advice for myself.


I am going to be 40 come 2019 and I have spent the last 10 years (since 2008) in trading and other functions with brokerages. A couple of years ago, I started my own firm and was licensed with MAS as a broker(SFA). During that time, I focused on the compliance aspect of the company (regulators/licencing/KYC/AML) while the other partners did the front office work. However, it didn't work out and I am now looking to join the corporate world.

What I would like to know is if I could join a FI in compliance at a middle level rather than a fresh hire.

Hope to hear your inputs.

Thank you.
your profile seems pretty fitting for typical market compliance role... Honestly, rather than asking on a internet forum, why don't speak to a recruiter and have them vet through your CV. There are so many other factors (of which, i don't think you want to share them in public) to consider - how wide was your scope back then / typical products and markets that you've covered / last drawn pay / your motivations to move and etc. And of course - Age.

The questions that you'd ask yourself is - for a mid level position, why would they choose you over somebody who spent the same amount of years across several big FIs with 100% focus in the regulatory / compliance space. That person would very likely have hands-on experience with numerous trading platforms - the same as you, and with one or more dedicated surveillance platforms. Nonetheless, these are just my views - it's best you get an professional advice instead.
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