Compliance Officer

Responsibilities

• Provide comprehensive compliance advisory support and guidance to both back and front office teams, ensuring adherence to relevant laws, regulations, and rules.
• Conduct thorough compliance reviews and testing, encompassing areas such as trade surveillance, AML (Anti-Money Laundering), and BCS (Business Conduct Standards).
• Promptly escalate any breaches of regulatory requirements, misconduct, or violations of company policies.
• Develop compliance review programs, self-assessment questionnaires, and any other necessary compliance initiatives as directed by the Head of Department, front and back office, parent company, or relevant regulatory bodies.
• Conducting CDD for new and ongoing customers in accordance with MAS guidelines.
• Undertake advisory and compliance tasks or projects as required by the Head of Department, ensuring alignment with organizational goals.
• Act as a liaison with auditors, Head Office and relevant regulatory authorities, communicating major findings and fulfilling compliance reporting obligations.
• Regularly review and update policies and procedures to ensure they remain current and effective.
• Stay informed about regulatory updates and ensure timely implementation of revised requirements.
• Conduct awareness briefings and staff training sessions on regulatory requirements, company policies, and procedures.
• Undertake any other ad-hoc responsibilities as assigned.

Qualifications

• Degree holder with minimum 3 years of relevant experience
• Familiarity with the relevant laws, regulations and exchange rules in the securities and/or futures market (SFA, SGX-ST Rules, Futures Trading Rules)
• Meticulous, with a positive and proactive attitude
• Strong communication, interpersonal, analytical and organizational skills
• Team player yet able to work independently and interact with people at all levels
• Relevant experience in exchanges (e.g. in market surveillance or supervision departments), public accounting firms, securities and futures brokerage firms and other financial institutions are encouraged to apply.