Assist the Manager (Compliance) in the following areas:
1. Execute the compliance activities in accordance with the approved annual Compliance Plan.
2. Prepare and review daily trade surveillance reports in relation to potential frontrunning, matched trades, and other prohibited market conduct, to comply with the Securities & Futures Act (SFA), SGX Rules and other relevant MAS notices
3. Assist with any ad-hoc queries, drafting of polices, and reporting in the area of Data Protection, in line with the Personal Data Protection Act (PDPA)
4. Provide assistance, guidance and/or training to Management, business units, nonbusiness units and staff on compliance and regulatory requirements.
5. Identify, monitor and highlight key regulatory requirements and/or changes, and assist in the management of these requirements and compliance risks.
6. Update the Board of Directors, Management and/or Head of Departments on the changes to the applicable laws and regulations.
7. Assist to review and update new regulatory changes and guidelines and ensure company’s own policies and procedures are in line with the new changes.
8. Assist with the preparation of periodic reports to the Board of Directors and/or Management on company’s overall compliance with the regulatory requirements, including significant breaches if any.
9. Conduct ad-hoc compliance reviews and investigations at the instruction of Compliance Manager
10. Notify the Authorities in writing of any material breaches and/or misconduct committed by Trading Representatives and employees, in accordance with regulatory requirements.
11. Prepare written Compliance reports or memos and assist to review on the effectiveness of the overall compliance with the regulatory requirements by each department, where applicable.
12. Act as liaison with external parties such as MAS, CAD, SGX, external auditors.
13. Any other tasks assigned by the Compliance Manager.
In relation to AML/CFT:
1. Conduct periodic AML/CFT reviews to ensure the company is in compliance with the relevant AML/CFT regulations, such as during onboarding of new clients.
2. Provides updates, subject to review by Compliance Manager, to the Board of Directors, Management and/or Head of Departments on a timely basis, on any pertinent information on the current and latest applicable AML/CFT regulations
3. Monitor and review clients who are Politically Exposed Persons (PEPs) and/or potentially higher risk categories.
4. Review of AML/CFT policies & procedures as and when required, to be in line with the latest regulatory updates.
5. Complete and submit Suspicious Transaction Reports (STR)
