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.
