About the role
CGS International Securities Pte. Ltd. (CGS International) is an award-winning and market leading integrated financial services provider, ranked among the top securities houses in Asia.
CGS International taps on our wealth of global and ASEAN insights to offer equities trading, leveraged products, wealth management, investment banking, equities research, Shariah-compliant financing, fixed income, currency and commodities, structured products and prime brokerage services in over 15 countries and regions.
Along with its parent organisation China Galaxy Securities, a leading securities house in China, CGS International is trusted by more than 15 million customers globally.
Job Responsibilities
The incumbent will be responsible for:
1. Conducting compliance reviews relating to Anti-Money Laundering Customer Due Diligence/Know-Your-Customers and transactions monitoring related (“AML CDD/KYC/TM reviews”) to identify any potential money laundering and recommend filing of STRs where applicable.
2. Communicate effectively with relevant stakeholders for the purpose of conducting AML CDD/KYC/TM reviews.
3. Provide compliance advisory on Anti-Money Laundering/ Countering Financing of Terrorism regulatory requirements.
4. Performing investigations on suspicious transactions escalated or compliance issues or violations reported to Compliance where necessary.
5. Assist and coordinate in regulatory requests related matters.
6. Coordinate and conduct training to relevant stakeholders (including Front Office) in relation to AML CDD/KYC. Coordinate and assist to review AML-related training programs to ensure all employees are aware of compliance responsibilities and company policies.
7. Monitor regulatory changes and update policies and procedures, including dissemination of updates to relevant staff.
8. Prepare and ensure timely submission of management reports to Senior Management, Board of Directors and Head Office.
9. Conduct risk assessments and identify potential areas of compliance vulnerability and provide recommendations for improvement.
10. Serve as a liaison between the company and regulatory agencies. Collaborate with internal and external auditors during compliance reviews.
11. Assist in other reviews / tasks / projects as necessary.
Job Requirements
To thrive and be successful in this role, you must have / be:
- Proficient in written and spoken English.
- Microsoft office and familiar with MAS AML/CFT requirements
- A good Degree or professional qualification in Accountancy, Banking or Finance.
- Additional diploma in AML-related is a plus.
- Possess good interpersonal and communication skills
- Good team player
- Minimum 5 years experience in AML CDD/KYC/TM
