Total 20 accounts officer job vacancies in Quality Assurance / Control category in Tanglin Road, Central Singapore

Local focused

• Develop, implement, and maintain comprehensive compliance program in line with regional and international regulations such as MAS regulation, anti-money laundering (AML), counter-terrorism financing (CTF), data protection, Sanctions and industry-specific regulations.

• Monitor and interpret regulatory changes and ensure the organization’s policies and procedures are updated accordingly.

• Conduct regular risk assessments to identify potential compliance risks and develop strategies to mitigate them and ensure compliance with applicable laws, regulations, and policies.

• Act as a point of contact for regulatory authorities and external auditors.

• Liaise and maintain relationships with regulatory bodies and manage any regulatory inquiries and reporting obligations for the organization in the region.

• Monitor and report on compliance risks and issues to regulatory authorities, senior management and the board of directors.

Local & Group

• Coordinate with group compliance teams to align compliance objectives, processes, and goals, ensuring consistent practices across the organization.

• Maintain accurate and up-to-date records of compliance activities, audits, and investigations.

• Provide training and guidance to staff on compliance-related matters, promoting a culture of integrity, compliance, and transparency throughout the organization.

Job purpose:

This is a role in the markets compliance team that is seated on the trading floor. Candidate will be responsible for monitoring regulatory changes, providing compliance advise, and performing various 2nd line compliance controls.

The candidate should be is able to work with teammates and stakeholders from different departments and of different levels, provide advice and perform groundwork for various compliance task and controls.

Key Activities:

1. Monitoring regulatory changes impacting the FICC business and the branch.
2. Advising front office colleagues on regulatory requirements relating to FICC business.
3. Ensuring that the branch and its employee have the necessary licenses to conduct their business activities.
4. Performing Compliance desk reviews on front office departments.
5. Conducting Markets Compliance training for Front Office colleagues and other colleagues.
6. Reviewing and approving new products approval requests.
7. Supporting team members with trade and communications surveillance, PAD controls, including investigations of any related breaches
8. Performing annual Compliance Risk Assessment for the branch
9. Supporting the team for compliance projects, head office reporting audits and inspections
10. Deputising for team lead in his absence.

Former education:

University degree

Specialist knowledge (work experience, further qualification):

Work Experience:

• 5-8 years of experience in Markets Compliance or related fields covering Global Markets sales and trading. Understanding of Banking Act, Securities and Futures Act, Bluebook, FX Global Code of Conduct and other MAS MAS notices and guidelines related to FICC sales and trading.

Other relevant skills:

• Good knowledge and understanding of the local regulatory framework and ability to analyse and interpret regulations and apply them to our business
• Ability to identify key issues and escalate them in a timely manner
• Good writing and communications skills
• Organised and methodical.
• Able to work with colleagues of various levels from Front Office and other departments

Job Description:

Based in Singapore, the Singapore Financial Compliance Officer will have overall responsibility in ensuring compliance with relevant regulatory requirements, maintaining a country compliance program aligned with group compliance frameworks, and advising internal stakeholders on compliance matters, including:

• Leading regulatory engagements and ensuring compliance with mandatory reporting requirements with relevant regulators and relevant internal and external stakeholders;

• Advising on payments / financial services regulatory matters, and assisting in the development and implementation of new products, features, and businesses lines;

• Providing timely and quality regulatory advice for negotiations on strategic, complex and high value agreements;

• Developing and implementing Group Compliance initiatives in-country, including – technology risk management, business continuity management, outsourcing, and consumer protection policies in line with local regulatory expectations and requirements;

• Incident management (e.g. responding to regulatory investigations / inspections by authorities / assisting in PR incident responses/ submission of STRs);

• Preparing for, and managing, audits and inspections by relevant regulators;

• Localising and implementing Group-wide financial compliance programs and training for internal stakeholders;

• Being the in-country champion in driving a culture of compliance;

• Other additional duties as assigned.

Candidate requirements

• 8-12 years of Financial Regulatory experience (added advantage if candidate is a qualified Singapore lawyer or has extensive relevant experience at a financial regulator in Singapore)

• Ideal candidate would have a mix of (i) regulatory experience, (ii) prior in-house experience in the payments sector (preferably a licensed e-money / wallet operator in Singapore), and (iii) private practice experience in top-tier law or consulting / advisory firms

• Knowledge of FinTech lending and insurance will be a plus

• Extensive experience interacting with regulators, particularly with MAS

• Critical thinking and analysis with strong attention to detail

• Ability to thrive in a fast-paced startup environment where ambiguity and change is the norm

• Fluent in English and Mandarin

Key Responsibilities

1. Compliance Monitoring & Reporting

• Assist in implementing and enforcing compliance policies and procedures to ensure alignment with regulatory requirements.
• Maintain compliance records: Organize and update documents, policies, and procedures in accessible formats.
• Conduct preliminary audits and support the audit process by gathering and reviewing necessary documentation, tracking findings, and coordinating corrective actions.
• Monitor regulatory updates: Research changes in regulations, prepare summaries, and communicate relevant updates to team members.
• Incident management: Track, document, and assist in investigating compliance incidents, following up as necessary to close out issues.
• Coordinate compliance training: Help develop training materials and schedule sessions for team members across departments.

2. Risk Management

• Perform risk assessments: Identify potential compliance risks and propose actions to mitigate them.
• Support compliance testing to evaluate effectiveness of policies, controls, and compliance programs.
• Follow up on remediation actions: Ensure timely follow-up and completion of required actions to address identified risks.

3. Administrative Support

• Meeting coordination: Schedule and manage meetings, prepare agendas, and organize compliance training sessions.
• Document preparation: Create and format documents, presentations, and reports for internal and external stakeholders.
• Manage correspondence: Handle incoming and outgoing communications for the department, including emails, phone calls, and memos.
• File organization: Organize physical and digital files, ensuring data protection and easy retrieval as per company protocols.
• Order office supplies and manage inventory for the department, ensuring adequate resources are available for operations.

Requirements

Education & Experience

• Bachelor’s degree in Business Administration, Compliance, Finance, Law, or a related field (or equivalent experience).
• Experience: Minimum of 1-3 years in a compliance, administrative, or similar support role, ideally within a regulated industry (e.g., finance, healthcare).

Skills & Competencies

• Attention to Detail: Strong ability to identify and address discrepancies in documentation and processes.
• Organizational Skills: Excellent time-management and multitasking skills; able to manage multiple priorities.
• Analytical Skills: Capable of analyzing compliance documents, identifying regulatory issues, and supporting risk assessments.
• Communication Skills: Strong written and verbal communication skills for preparing reports, presentations, and interacting with team members.
• Technology Proficiency: Advanced skills in Microsoft Office (Excel, Word, PowerPoint) and familiarity with compliance software or databases.

Key Responsibilities:

• Directly involved in advisory support to the team in daily AML tasks such as onboarding assessment, account reviews, client update / change in circumstances, name screening and transaction monitoring, review and approval of matters escalated to Compliance such as payments.
• Ongoing management of the Second Line of Defence AML compliance program in accordance with Group directives, policies and applicable local regulatory requirements; conduct AML key controls as part of the compliance monitoring program.
• Conduct Quality Assurance checks on sampled Onboarding and Periodic Reviews.
• Conduct investigation of suspicious transactions and filing of suspicious transaction reports where required.
• Perform gap analysis on new/change in AML regulations to ensure that AML compliance is aligned with regulatory standards; identify areas for improvements and involve stakeholders for resolution.
• Maintain and update AML-related procedures and working instructions.
• Conduct periodic awareness briefing and staff trainings on regulatory requirements, internal policies and procedures pertaining to AML. Promote and manage compliance risk culture and local practice of regulatory compliance and ethical standards.
• Periodic and ad-hoc regulatory reporting or AML survey.
• Support Team in providing AML / compliance advisory support to colleagues, senior management and key stakeholders in AML and Financial Crime matters.
• Support Team in initiatives and projects, audits, reviews and investigations relating to AML and Financial Crime Compliance, and any other duties assigned by Team Head.
• Build relationships and credibility with stakeholders.
• Support Team Head in providing supervisory and guidance to the junior AML officers.
• Ensure that the AML team members are well equipped with the required knowledge and updated on the latest regulatory requirements.
• Participate and support global or regional compliance projects related to AML Compliance function.

Experience and qualifications:

• Degree holder with minimum 8 years of work experience, preferably in Private banking with experience in either AML compliance/KYC/Onboarding/KYC Quality Assurance.
• Good knowledge of MAS Notice 626 requirements and private banking industry practice.

Moomoo Financial Singapore Pte. Ltd. (Moomoo Singapore) is an advanced financial technology company transforming the investing experience by offering a digitalised brokerage and wealth management platform – moomoo. Moomoo enhances the user experience with market data, news, and powerful analytical tools. Moomoo also embeds an unique digitalised investment community to connect all users, investors, companies, analysts, media and key opinion leaders.

In Singapore, Moomoo Financial Singapore Pte. Ltd. (www.moomoo.com/sg) offers investment products for trading via the moomoo platform, and it is a capital markets services licence holder regulated by the Monetary Authority of Singapore (Licence No. CMS101000). In June 2022, Moomoo Singapore became the first digital brokerage to receive all five memberships from the SGX Group for the securities and derivatives markets.

Job Summary: The Compliance Officer is a crucial member of our organization responsible for ensuring the company's adherence to all relevant laws, regulations, and internal policies. This role involves overseeing the surveillance services designed to detect behaviours that may violate regulatory rules or Moomoo SG’s internal policy and procedures. Effective communication with various departments is essential for maintaining a robust compliance program.

Compliance Officer

Responsibilities

• Undertake the investigation and assessment of transaction monitoring alerts. Collaborate with relevant departments to evaluate and address potential issues identified through transaction monitoring. Ensure that all reviews and investigation conclusions are adequately documented.
• Perform trade surveillance checks across various asset classes, including but not limited to equities, derivatives, and cryptocurrency transactions. Ensure that all reviews and investigation conclusions are properly documented.
• Contribute to the design and development of systems to enhance surveillance coverage. Communicate with the product team to ensure the system functions as designed and developed.
• Stay informed of regulatory updates that may impact the surveillance program, and continuously seek ways to enhance the program to ensure it remains relevant and up-to-date.
• Develop and update compliance policies and procedures. Ensure that policies and procedures are aligned with changes in local laws and regulations.
• Facilitate effective internal collaboration. Serve as a liaison between compliance and other departments to foster a coordinated approach to compliance. Work collaboratively with legal, risk management, and other teams to address compliance-related concerns and implement corrective actions.
• Respond to regulatory requests from regulators and upstream providers.
• Participate in ad hoc projects and tasks as assigned, ensuring the effective completion of all responsibilities.

Our Values

• Integrity
• Integrity Story: Say No to Super High Leverage
• We hold fast to our value of integrity and attach great importance to user experience and risk management. Unlike some other brokerages, we don’t try to attract users’ attention by claiming to enable super high-leverage financing for IPO subscriptions, which quickly reaches the limit.
• Efficiency
• Efficiency Story: Promise Made to a User on New Year's Eve
• On February 11, 2021, Chinese New Year's Eve, a user wrote a post in the Community at around 8 AM and received Leaf's reply just 8 minutes later. According to the user's suggestion, we issued a letter to shareholders after releasing our annual report.
• Service
• Service Story: Providing Excellent Services and Undertaking Our Responsibilities
• After Ant Group’s IPO was suspended, we refunded all subscribers’ subscription fees and margin interest, bearing all the costs ourselves.
• Excellence
• Excellence Story: Leaf Opens Our App Over 30 Times a Day
• According to statistics, Leaf opens our app over 30 times a day on average. He repeatedly checks every detail. While normal users might just enter a trading page and stop there, Leaf taps some seemingly boring or repetitive elements on the page. He continually assesses the app’s loading speed and visual effects.

Please note that only short-listed candidates will be contacted.

Requirements

• Preferably to have a degree or diploma or any other equivalent qualifications in business, Finance, or a related field.
• Proven experience in compliance roles with at least 2-3 years of experience.
• Strong analytical and problem-solving skills.
• Able to work under pressure within tight deadlines with no loss of accuracy.
• A proactive and reliable team player but can also work well independently.
• Experience with Nasdaq SMARTS and Athena will be a Plus.
• Preferably to have Professional certifications in compliance (e.g., CAMS, ICA Diploma).
• English speaking and Fluency in Mandarin is an added advantage

Working at Moomoo, you will get

• Be a part of the world’s leading digital brokerage firm where growth and career development opportunities are endless.
• Enjoy a competitive total compensation package that truly values your skills and contributions.
• Comprehensive insurance coverage for employees and dependents to provide you a peace of mind
• Fun loving and diverse work environment that hosts various team-bonding programs and company events
• Business casual work attire everyday
• And Much More!: Discover even more perks and benefits as we take you through the hiring process!

At Bank of Communications, we are dedicated to fostering talent and innovation in a dynamic and supportive environment, providing opportunities for growth and development. We are excited to invite enthusiastic and driven fresh graduates to apply for the position of Graduate Officer in either our Compliance or Finance departments. This is an entry-level role designed to provide on the job training and hands-on experience in the chosen field. You will work closely with seasoned professionals to gain valuable insights, contribute to meaningful projects and develop a strong foundation for your career.

Compliance Officer:

· Report to Head of Compliance

· Assist in monitoring and ensuring adherence to company policies and regulatory requirements

· Support the development and implementation of compliance and AML program and initiatives

· Conduct research and analysis to identify potential compliance risks

· Collaborate with various departments to ensure compliance with internal and external standards

· Assist in AML/CFT name screening on a daily basis in a timely manner

· Coordinate with relevant departments/personnel to resolve any name screening issues including system issues

· Assist in the preparation of AML/CFT name screening statistics and reporting

· Assist in the preparation of training and guidance materials relating to name screening

· Undertake any other additional tasks and responsibilities assigned by department head

REQUIREMENTS

· Recent graduates with a Bachelor’s degree from reputable Universities

· Strong interest in compliance or finance and eagerness to learn

· Strong analytical skills, excellent attention to detail and problem-solving skills

· Good communication skills both verbal and written with ability to interact comfortably with a variety of stakeholders.

Bitstamp is the original cryptocurrency exchange. 

We started small in 2011, with just two laptops and big aspirations. Fast forward to today and we have grown to serve over 5 million clients across the globe, who benefit from our commitment to security, transparency and regulation. Whether it’s through our intuitive web and mobile apps or arsenal of industry-leading APIs, Bitstamp is where crypto enters the world of finance. 

 Our success is a result of the innovative ideas, talented individuals, and passion of our team. Together, we have helped shaped the crypto industry and continue to do so. We are always on the lookout for new talent and crypto-curious thinkers who share our passion for the future of finance. 

 As a Chief Compliance Officer, you will join our Bitstamp Asia team and contribute to our global presence of being one of the most regulated crypto exchanges in the world.

 The benefits of Life at Bitstamp

• Work from home or other location that allows you to be most productive.
• Generous home-office allowances upon joining to help set up your home space.
• Incentives: Financial Rewards, Bitstamp Employee Annual Awards, etc.
• Sports and cultural activities, pet-friendly offices, a full fridge, teambuilding events, Bitstamp parties.

Main responsibilities:

• Designated Compliance Officer for Singapore (subject to regulatory approval by MAS).
• Primary responsibility for all Compliance aspects of Bitstamp’s major payment institution license in Singapore including operationalization and maintenance of all compliance requirements.
• Build and manage the Singapore Compliance team.
• Develop Compliance processes and ensure the implementation and appropriate controls that reflect business and regulatory requirements and risk appetites.
• Ensure that all regional requirements pertaining to Financial Crime are managed effectively, by ensuring that Bitstamp Asia has in place the appropriate controls to prevent, detect, investigate and report suspicious activity in accordance with regulatory requirements.
• Primary responsibility for STR reporting to the FIU in Singapore within required timescales. Act as the escalation point on all STR reporting, engagement with the FIU and law enforcement requests affecting the Bitstamp Asia business.
• Work collaboratively with the Compliance teams across US and EU to ensure standardized and consistent approach to Bitstamp Compliance globally and develop solutions to mitigate regulatory risks.
• Report to management and Board-level stakeholders on Compliance KPIs and metrics and all other relevant compliance issues, escalating any important or high-risk issues impacting the business. 
• Responsible for having in place all applicable regulatory policies and procedures impacting Bitstamp Asia, ensuring these are fit for purpose, meeting regulatory requirements and are updated and maintained, and delivering continuous improvement of the Compliance framework for Bitstamp.
• Oversee the development and execution of a Compliance Monitoring Plan for Bitstamp Asia. Coordinate any local regulatory requirements for Internal Audit.
• Oversee the accurate and comprehensive periodic reporting to MAS on all regulatory matters and handle the effective regulatory engagement with MAS on Compliance topics as the business and regulator requires.
• Continuous horizon scanning on all regulatory changes that may impact Bitstamp Asia, ensuring new changes impacting the business are effectively reported to management and the Board. Work collaboratively with the global Legal team to assess their impact and required controls. Support the global legal team on any new license requirements identified for Bitstamp Asia in the region.
• Oversight of examinations and regulatory audits by external auditors, handle management responses and ensure the effective delivery of all identified improvements within agreed timelines.
• Ensure that an effective Compliance training program is in place that meets regulatory requirements for the team in Singapore and the Board of Directors.
• Work collaboratively with compliance operations and customer account operations teams based in Slovenia.
• Act as the Ethics Officer and Whistleblowing Officer for Bitstamp s, handling all reports in line with policies and ensuring appropriate discretion and confidentiality.  
• Be an ambassador for Compliance culture at Bitstamp.

Required qualifications, skills and experience:

•  Around 10 years of relevant experience in the Regulatory Compliance division of regulated financial institution (ideally crypto, banking, payments or e-money) as part of the second line of defense. Previous experience as a Compliance Officer with management responsibility.
• Prior experience within the crypto industry is a strong plus but not required. However, a demonstrable interest in the sector is necessary.
• High level of understanding of all applicable MAS regulatory frameworks impacting the business that is commensurate with the seniority of the role. Knowledge of the Compliance environment and relevant emerging trends in the APAC region. 
• Ability to analyze and synthesize complex information and distil into readily comprehensible and practical advice relevant to the commercial, strategic and financial context, applying a risk-based approach to development of business solutions and decision-making. Demonstrate a creative and innovative approach by finding different ways to look at problems and design novel solutions. 
• Good leadership skills combined with a willingness to be hands-on as necessary. Ability to lead a function and projects and manage the team. 
• A collaborative business partner, influential, inspires confidence and builds trust in other people. A positive person who instils energy and spirit in their team.
• Autonomous, pro-active and hands-on with the ability to prioritize and manage own work effectively, apply a breadth of technical, business, product and customer domain knowledge, own the outcome, make an impact, and manage a team to deliver the same. 
• Used to working in a diverse, international, fast-moving business and fast evolving regulatory environment.
• Strong written and verbal communication skills. Excellent knowledge of English language (written and verbal). 
• Relevant Compliance certifications or recognized professional certifications in Compliance. 

Description:

• Ensure that only authorised staff displaying valid SP Group (“SP”) security passes are permitted to enter the Company’s installation
• Ensure that all items / materials taken out of the TCC are accounted and recorded
• Ensure that the company’s facilities, main and pedestrian gates are closed and locked whenever they are left unattended
• Ensure that photo taking and video filming are not permitted in the premises unless with the approval of at least the relevant Head of Section
• Record all incidents in the Occurrence Book and immediately report all incidents/fire alarms/malfunctioning of CCTV, Fence Intrusion Detection System and Vehicle Crash Barrier System to the company and the Security Command Centre (“SCC”)
• Attend to any incidents/matters/activation of fire alarms with Comms set and execute company’s Standard of Procedure
• Contact the relevant Contact Person/s during an emergency
• To enforce any instructions/directives in connection with CRISIS management such as Severe Acute Respiratory Syndrome, Flu Pandemic or any other matter health related incident as required by the relevant authorities
• Ensure all equipment and keys are accounted for when changing shift
• Comply with all Standard Operation Procedures (SOP) issued by the Company
• Support any other duties as assigned includes tunnel exercise with external parties such as SCDF, EMA, etc
• Check that the entries made by contractors/visitors in the visitor’s logbooks are correct and complete Not allow any unauthorized person, including the Company staff to enter the control room unless approved by the Company
• Operate and monitor RFID system to track all personnel enter/exit tunnels
• Monitor Tunnel SCADA system (similar to Building Monitoring System)
• Perform emergency SOP to guide staff/workers to evacuation out of tunnels
• Monitor and trending data of M&E systems
• Ensure an emergency call-out service is available at all times
• Any other systems and components, which are to monitor but not specifically mentioned in the abovementioned sub-clauses but are within the Contract Area, shall be included in this Contrac

Requirement:

• Singapore Citizens / Permanent Resident only
• Certified to be medically fit.
• Personnel must have Mechanical and Electrical (M&E) engineering experience with some background knowledge of security management.
• Experience in working in commercial control room to monitor M&E and fire system.
• Minimum three (03) years of relevant experiences similar in nature to Tunnel Control Centre will be advantage.
• Able to speak and write in English and familiar with Microsoft Office software.

Job Description & Requirements:

• Work closely with the project team on environmental issues such as noise monitoring, pollution, vector control, air pollution, water pollution and drainage, prevention & control of infectious diseases, food hygiene, solid waste management, chemical storage & disposal, and haze response procedure. Ensure compliance with the latest environmental regulations.
• Implement and monitor environmental control programs on site.
• Prepare, submit statutory reports, and maintain documentation for environmental public health requirements on environmental issues.
• Conduct regular inspections and actively be involved in environmental matters on site.
• Enforces all environmental requirements and in-house rules and regulations
• Attend site meetings/ client meetings and prepare weekly reports.
• Liaise with government authorities in relation to safety and environment compliance matters.

Requirement:

• Must be registered ECO with NEA.
• Minimum 2years experience or relavent feild.
• Excellent communication and interpersonal skills.
• Proficient in MS Word and Excel, and MS Outlook.
• independently Environmental control officer

As a Compliance Officer, you will be part of the Compliance & Risk Department.

Job scope includes the following:

• Work closely with the Head of Compliance, Risk & MLRO, together with members of the local and global compliance team and other internal functions, to ensure that processes, system and controls are in place and reflect applicable Group and local regulatory requirements.
• Keep pace with regulatory changes, perform a gap analysis on new regulations and undertake an assessment of the relevant changes against current policies and procedures.
• Assist with regulatory audits and inspections.
• Undertake risk assessments and periodic reviews in accordance with the Compliance Monitoring Plan.
• Assist with monitoring the effectiveness of the systems, policies and procedures designed to manage compliance risk and proactively assist and make recommendations for improvements to systems, policies and procedure.
• Review of client account opening requests (private clients, companies, institutional clients, financial institutions, external asset managers, introducing brokers) from an AML/CTF standpoint (MAS, FATF, OFAC) including name screening, PEP review, background research etc.
• Undertake periodic and ad hoc name screening, review hits and clear alerts.
• Proactively identify gaps, highlight any potential concerns/risks, recommend remediation actions and share best practices to enhance existing policies and processes.
• Preparation of internal training material on compliance-related topics.
• Participation in ad hoc local/Group compliance and regulatory projects.
• Provide compliance advice and support to the Front line sales team and Management.
• Perform any other duties as may be assigned by the Company from time to time.

About

This is an exciting opportunity for an experienced Compliance Officer to join an award winning fintech organisation to help build a world class AML/CFT program that would support our growth plans in the APAC region. We are looking for an individual with a solid understanding of e-commerce, processing, acquiring business and risks pertaining to these areas.

In this role, you will be a member of an experienced compliance team that partners with internal teams to develop, implement and execute processes on customers due diligence, KYC,and AML/CFT screening and monitoring. We will also provide you with mentorship and networking opportunities with Senior Management that will broaden your horizons and sharpen your innovative edge.

You should have experience in the field of AML/CFT, possess deep knowledge of relevant legislations in Singapore and have a track record of transposing MAS requirements into practical policies and procedures.

Responsibilities:

• Develop policies and procedures to ensure compliance with company's regulator in Singapore including, but not limited to MAS’s Payment Services Act and Supervisory Framework and Regulatory Framework requirements.
• Customer Due Diligence and Know Your Customer: Identify and verify customer identities, screen and assess related parties, ownership structures, adverse news searches at the onboarding stage and on a continuing basis
• Anti-Money Laundering and Combating the Financing of Terrorism: Ensure that AML risk assessment for new customers before on-boarding are correctly performed and documented properly, conducting transaction monitoring
• Enterprise-Wide Risk Assessment: Involve in developing and implementing a framework to assess our inherent risks and control measures
• Support internal and external audits and compliance with our regulators and banking partners for any Singapore related matters
• Support Singapore corporate governance matters
• Assist with other aspects of the business and special projects

Requirements:

• Diploma / Bachelor’s degree or equivalent professional certification, and/or 1-3 years of relevant work experience in Compliance in a bank or other MAS-regulated financial institution, KYC review/ AML transaction monitoring experience will be a bonus.
• Knowledge and familiarity with Singapore regulatory compliance requirements.
• Demonstrated ability to work independently.
• Proficiency with compliance management and screening software, e.g. World Check, etc.
• Expertise and familiarity with MS Office, especially Excel.
• Proficiency in written and spoken English and Mandarin, comfortable with business, legal, policy, and financial documentation.
• Independent and willing learner, driven, and looking to work in a start-up environment.
• Collaborative and personable team player.

Dylan Choo

Rewarding Talents International

EA License: 22S1387

EA Personnel: R2094227

Compliance Officer (Open to Auditors)

· Open to Candidates from Audit firms

· Prominent Real Estate Player

· Salary Circa - $65000 per annum plus bonus.

The Company

The company is a SGX listed REIT with a strong portfolio of overseas assets. They are now seeking a Compliance Officer to be part of their growing team.

The Position

The Compliance Officer’s main role will be to assist the senior management in managing the and compliance related matters for their operations in Singapore and overseas. There will be a need to perform compliance reviews and report on compliance related matters to ensure their operations follow the laws and regulations. Naturally there will be a need to liaise / work closely with Internal Auditors, outsourced Compliance Consultants, and external legal counsel to ensure compliance with the relevant matters. As such the Compliance Officer will need to provide advise to the senior management on related laws and regulations and ensure there is proper maintenance and updates on the company’ compliance policy and procedures.

The Person

To succeed in this role, candidates should ideally have at least 2 years of working experience, ideally gained from a Singapore REIT, Financial Services or Audit background with a good knowledge of SGX Listing Rules. Candidates should have strong interpersonal skills, independent and the ability to partner with the business.

We are a financial services company with capital markets services (CMS) licence.

If you are someone who has a keen interest in building a career around risk & compliance, this role is for you.

Responsibilities:

• To assist in overseeing the corporate compliance programme.
• Assist in maintaining the compliance framework and processes including AML functions.
• Advise the business on regulatory obligations and the impact of regulatory changes.
• Policies and Procedure drafting and implementation
• Monitor account activities and report suspicious transactions to the management.
• Ensure accounts are on-boarded as per regulations and internal guidelines.

Requirements:

• Strong degree-level academic qualification or ICTA Compliance/AML qualification
• Minimum 2 years of relevant Regulatory compliance experience in the brokerage industry specialized in Finance - Corporate Finance/Investment/Merchant Banking or equivalent
• Preferably experience in KYC (Client Onboarding Team), AML Compliance, Corporate Compliance
• Demonstrable understanding of regulations and financial market
• Fluent in English and Chinese (both oral and written communication)
• Evidence of drive, curiosity, good judgment and good attention to detail
• Excellent team spirit
• Rigorous, well-organized with a structured and logical approach

Short Description for Candidates

The principal mission of the candidate is to be responsible for developing, implementing and administering all aspects of the company’s Compliance Management Program. Focusing on the detection and prevention of money laundering, terrorist financing, consumer fraud activities, consumer protection expectations and any other laws and regulations that pertain to the activities that Ria performs as a money service business in the country.

Description for Candidates

The principal mission of the candidate is to be responsible for developing, implementing, and administering all aspects of the company’s Compliance Management Program. Focusing on the detection and prevention of money laundering, terrorist financing, consumer fraud activities, consumer protection expectations and any other laws and regulations that pertain to the activities that Ria performs as a money service business in the country.

RESPONSIBILITES:

• Plan, organize and control the day-to-day administrative and operational compliance activities; training of Ria employees and Ria correspondents. Collaborate with the Senior Management in the overall administration of these activities for the company.
• Liaise with local regulators Central Bank, the Financial Intelligence Units and other relevant authorities in order to meet the company’s regulatory obligations.
• Advise the Board of Directors, Senior Management and other personnel of emerging compliance issues and consults and guide the company in the establishment of controls to mitigate risks.
• Implement an effective Compliance Risk Assessment Program in order to identify the risks associated within the regulatory environment, the products and services offered, geographical locations of operation and the delivery channels used.
• Due diligence tasks for existing correspondents on boarded, process and ongoing KYC updates.
• Correspondent visitation tasks.
• Store activity oversite, ensuring that transactions carried out at Ria locations comply with internal AML/ATF policies.
• Transaction Monitoring functions and reporting tasks and any other regulatory requirements.
• Perform in-depth analysis of transactions using excel pivot tables to detect unusual/suspicious activity
• Implement and effective AML/CTF training and continuing education programs to all applicable employees and senior management.
• Work with different departments to coordinate all reportorial and other requirements prescribed by the regulator. Prepare approval requests for new products and renew of the business permits on an annual basis.
• Data protection tasks in accordance with country laws and regulations that pertain to the activities that Ria performs as a money service business.
• To enforce risk management and mitigation processes within the company.

SKILLS AND ABILITIES:

• Experience/knowledge of compliance issues in financial institutions.
• Transaction monitoring and AML/ATF experience.
• High capacity to understand and apply the various legal systems applicable in the country.
• Be fluent in English, written and spoken (mandatory).
• Excellent communication skills, both written and spoken.
• International profile, with the capacity to understand both Western and Asian cultures.
• Microsoft Excel Advanced (mandatory) Clean and efficient working, pivot tables, dashboards, charts, multiple formulas, data analytics.
• Microsoft 365 (Word, Outlook, Teams, OneDrive, OneNote, Power Point, Planner).
• Technology oriented, with the ability to learn many different programs naturally.

COMPETENCIES:

• Culture of Progress: Results driven. Problem-solver. Work doesn’t end until the task is complete.
• Flexibility/Adaptability & Managing Change: Ability to effectively work in a fast-paced, energetic team environment. Able to adapt to different cultures, work environments and schedules.
• Analytical thinking and technology oriented: Strong analytical skills and high attention to detail. Able to find the most efficient and productive solutions avoiding unnecessary procedures. He/she must feel very comfortable amongst technology ad have the capacity to manage and improve many different systems.
• Stress Resilience: Used to work through short deadlines and under pressure, he/she also will have the ability to set up new activities, tackling issues quickly and efficiently. Doesn’t allow stress to affect his/her performance, always finds a way to reduce or work through stress peeks.
• Initiative, Innovation & Risk taking/management: An entrepreneurial person used to wear different hats. Not afraid to take initiative and present innovative ideas to help improve the company. Hard working person that doesn’t have to be micromanaged to make sure he/she is giving 100%. Autodidact, with a curious mind and initiative to learn on his/her own.
• Organization and planning: An enthusiastic person whose main objective is to get things done always considering attention to detail a must. A smart, proactive and easy-going person who makes things seem easy when complex. With high organizational skills essential for multitasking and team management.
• Teamwork & Conflict Management: Strong team player. Will always put the team before his/her personal interests. Great capacity on conflict solving, keeping a professional approach, and never allowing conflict to become personal.
• Communication & Influence: Excellent communications skills. Capable of communicating in a clear, straight and concise manner.
• Emotional Intelligence: Able to read people and approach everyone in the correct manner; considering the conversation topic and the individual unique characteristics.
• Commitment with the organization: Strong collaboration skills.

EDUCATION

• Master’s/Bachelor’s degree in law, business or a related field.

WORK EXPERIENCE

• Proven working experience in the financial or legal sector, with a minimum of 4 years in a compliance position in a financial environment.

Responsibilities for Candidates

The principal mission of the candidate is to be responsible for developing, implementing and administering all aspects of the company’s Compliance Management Program. Focusing on the detection and prevention of money laundering, terrorist financing, consumer fraud activities, consumer protection expectations and any other laws and regulations that pertain to the activities that Ria performs as a money service business in the country.

RESPONSIBILITES:

• Plan, organize and control the day-to-day administrative and operational compliance activities; training of Ria employees and Ria correspondents. Collaborate with the Senior Management in the overall administration of these activities for the company.
• Liaise with local regulators Central Bank, the Financial Intelligence Units and other relevant authorities in order to meet the company’s regulatory obligations.
• Advise the Board of Directors, Senior Management and other personnel of emerging compliance issues and consults and guide the company in the establishment of controls to mitigate risks.
• Implement an effective Compliance Risk Assessment Program in order to identify the risks associated within the regulatory environment, the products and services offered, geographical locations of operation and the delivery channels used.
• Due diligence tasks for existing correspondents on boarded, process and ongoing KYC updates.
• Correspondent visitation tasks.
• Store activity oversite, ensuring that transactions carried out at Ria locations comply with internal AML/ATF policies.
• Transaction Monitoring functions and reporting tasks and any other regulatory requirements.
• Perform in-depth analysis of transactions using excel pivot tables to detect unusual/suspicious activity
• Implement and effective AML/CTF training and continuing education programs to all applicable employees and senior management.
• Work with different departments to coordinate all reportorial and other requirements prescribed by the regulator. Prepare approval requests for new products and renew of the business permits on an annual basis.
• Data protection tasks in accordance with country laws and regulations that pertain to the activities that Ria performs as a money service business.
• To enforce risk management and mitigation processes within the company.

Established in 2017, QCP Capital is a digital assets trading firm and global market maker in options, headquartered in Singapore.

As one of the first digital assets trading firms in Singapore, QCP Capital brings to clients deep expertise gained from thriving through multiple market cycles. Our mission is to unlock new opportunities for clients at the forefront of crypto markets through providing institutional-grade liquidity, infrastructure and research.

An active early-stage crypto and blockchain investor, QCP Capital’s portfolio includes core trading infrastructure, exchanges, data and token ecosystems. QCP Capital is supported by over 70 professionals in trading, business development, operations, risk and compliance teams. More information can be found at qcp.capital.

• Acts as a client liaison party to liaise with external clients to resolve all queries related to onboarding matters, as well as customers’ complaints, promptly and professionally;
• Being responsible for the full spectrum of KYC & AML duties including conducting KYC/CDD checks on new clients, conducting periodic reviews on existing accounts, and ongoing transaction monitoring (blockchain);
• Interacting with the Engineering team in active feedback loops to improve the use of our proprietary technology platform and deliver scalable and compliant technology-driven financial services with built-in AML/CTF systems;
• Assist on any ad-hoc project or process improvement initiatives;
• Maintains a strong culture of risk and controls in the team through various processes and check-points;

The Environment We Offer

As a growing firm with a tightly-knit team, we respect and listen to all our employees. You will get the chance to make an impact by having your voice heard by everyone, including the management.

Our employees enjoy a high level of autonomy at work. We focus on substance, not form - as long as you can perform, you will be recognized and rewarded. We are also dedicated to supporting our staff and ensuring they develop holistically to maximize their potential in the long- term.

We also provide flexible working arrangement as required and a casual and fun environment to boot!

The successful incumbent will be part of a group of individuals who will assist and support the wider Risk & Compliance framework within the Asia cluster, actively ensuring timely compliance with external and internal regulations to actively control and manage operational, regulatory, and reputational risks.

Part of your scope will include:

• Project Lead for a robust but proportionate structured Ongoing Client Screening Programme
• Project Lead for a KYC Remediation Programme for client serviced entities in Singapore and Hong Kong

Additionally, you will be required to collaborate and provide assistance and support for the
implementation of projects undertaken by the Risk & Compliance Team. This includes providing timely reports on projects to ensure necessary stakeholders are kept informed, actively participating in alignments with the Risk & Compliance initiatives and acting as POC for assigned projects.

You are expected to support on all aspects of regulatory and compliance requirements, stay informed of regulatory developments on the prevention of Anti-Money Laundering/Countering the Financing of Terrorism (AML/CFT), assessing potential impact on the Company’s existing policies and procedures and implementing changes and enhancements to the Company’s internal control environment and risk framework to ensure compliance with regulatory and group standards.

In carrying out your role, you may be required to get involved in the following:

• Developing and executing a robust but proportionate structured Compliance Monitoring Programme
• Promoting and supporting an effective Compliance culture, through:

1. Identifying, monitoring and reporting regulatory risk within the business. To facilitate this all
2. regulation and guidance that is applicable to the entity must be recognised and documented.
3. Changes in regulation must also be identified and analysed in a timely manner;
4. Ensuring that applicable Compliance policies and procedures are kept up to date for changes in regulations and in regulatory expectations and that management and staff are kept apprised of such changes;
5. Keeping in close contact with the business and senior management, in order to be able to identify and advise on any compliance issues in a proactive and timely manner, ideally at the “embryonic phase” of business development;
6. Providing regulatory advice and guidance to the First Line (both client-specific and in respect of broader business initiatives) to ensure that regulatory compliance is maintained;
7. Assisting the operational areas to identify and embed key compliance related controls, including policies and procedures. Providing guidance on the proper application and interpretation of laws, regulations and policies applicable;
8. Reporting to the Board, GRC and other relevant stakeholders on a periodic basis and advising them of key regulatory risks emerging within the business in a formal context through the
9. production of Management Information ("MI"), KRIs or other standard reports;
10. Escalating, managing and reporting significant legislative breaches in an independent and
11. appropriate manner; and
12. Running training sessions on compliance-related matters to improve compliance awareness amongst First Line staff; and
13. Participating, as agreed, in Group and Local governance and oversight forums – e.g.
14. Acceptance, Continuation and Exit Committee (ACE), Country Risk & Compliance Committee (CRACC) etc.

Main Responsibilities:

1. Regulatory Compliance: Ensure compliance with all regulations and guidelines set forth by the Monetary Authority of Singapore (MAS) and other relevant authorities.

2. Policy Development and Implementation: Develop, implement, and maintain internal compliance policies and procedures.

3. Compliance Monitoring and Reporting: Regularly monitor compliance with laws, regulations, and internal policies. Prepare and submit compliance reports to management and regulatory bodies as required.

4. Risk Assessment: Conduct regular compliance risk assessments and implement risk management strategies.

5. Training and Awareness: Develop and deliver compliance training programs for all employees to ensure company-wide awareness and understanding of compliance requirements.

6. Liaising with Regulators: Act as the primary contact point for all regulatory matters, including audits, inquiries, and reporting.

7. Complaints and Investigations: Handle compliance-related complaints and lead investigations into any potential breaches of regulations or company policies.

8. Keeping Updated with Regulatory Changes: Stay informed about changes in the regulatory environment in Singapore and globally that could impact the firm’s operations.

Qualifications:

• Bachelor’s degree in Law, Finance, Business Administration, or a related field.

• Certification in compliance (e.g., Certified Compliance Officer or equivalent).

• Proven experience in a compliance role within the insurance or financial services industry in Singapore.

Skills:

• Thorough understanding of MAS regulations and Singaporean insurance laws.

• Strong analytical and problem-solving abilities.

• Excellent communication and interpersonal skills.

• Ability to handle confidential information with discretion.

• Detail-oriented with strong organizational skills.

• Proactive in identifying and resolving compliance issues.

[What you will be working on]

• Processing payments for the Board’s expenses, including payment to suppliers, grant recipients and scholars and maintenance of supplier and customer records in financial system; 

• Processing reimbursement to staff for overseas trips and other claims; 

• Processing overseas centres’ expenses to suppliers;

• Monitoring of accounts receivables, fixed assets and bank account at overseas centres;

• Assessment and accounting for leases in accordance with FRS116

• Supporting various statutory returns, budget exercise, management reports and ad-hoc projects;

• Supporting financial systems enhancements and troubleshooting.

• Analysis of bank transactions and complete monthly bank reconciliation;

• Tasks will be assigned in accordance to the candidate’s experience and suitability.

[What we are looking for]

To meet the challenges of this role, you must be a Singaporean with the following attributes:

• Basic book keeping knowledge;

• Meticulous and patient;

• Able to perform under time pressure;

• Good interpersonal skills;

• Proficiency in Microsoft applications and SAP/SAP Concur/Workday preferred.

Applicants may expect to receive an application outcome within 8 weeks of application date.

Job Description

The Compliance Officer supports the implementation of controls, compliance checks and compliance processes. He/ She executes tasks according to procedures to ensure regulatory compliance across the organisation, and escalates any issues to relevant parties where needed.

He/ she assists with keeping compliance processes updated and conducting research and preparation of necessary materials for standard compliance reporting. He/ she also supports the conduct of training and implementation of new or changing regulations.

The Compliance Officer is comfortable executing tasks independently and implementing guidelines in accordance with requirements and processes. He/ she is also able to cope in fast-paced environments, and is organised and responsible.

Job Responsibilities

• Perform risk assessments to understand the level, significance and scope of risk
• Understand and keep up-to-date with relevant laws and regulations
• Monitor compliance with laws, regulations and internal policies
• Communicate and ensure findings recorded are followed up with the Management to ensure issues are being rectified and propose courses of action
• Educate employees on the regulations and also the impact on the organization if these are not complied with
• Investigate irregularities and non-compliance issues
• Report back to business functions on current risk and compliance performance
• Highlight or escalate areas of concern
• Contribute to robust and effective compliance controls within the organization
• Review marketing materials, presentations and websites to ensure compliance with regulatory requirements
• Assist in the gathering of internal information in response to regulatory requests
• Collaborate with other departments to create a culture of compliance
• Informing and advising employees and business units on obligations under the PDPA act.
• Being the POC for liaising with PDPC in event of breach of obligations and internal stakeholders;
• Monitor updates to regulatory requirements to ensure the Company adheres to new and existing requirements. This may include furnishing and updates policies and procedures;
• Perform Data Protection Impact Assessment and develop data breach management plan in event of breaches; and
• Maintenance of data inventory log across departments
• Provision of general counsel / advising on data protection issues to stakeholders
• Assist in any ad-hoc matters and projects as assigned by the Management

Job Requirements

• Bachelor’s Degree, preferably business or law related / or Compliance Certification
• Post Qualified Experience of about 2-3 years and experience with MAS, KYC, Anti-money Laundering and some experience with funds will be an added advantage
• Proactive, objective and possess an aptitude of risks and controls
• Attention to detail and possess an enquiring mindset
• Good verbal and communication skills in English
• Knowledge of Microsoft Office Suite (Word, Excel, PowerPoint)