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Urgent! Senior Compliance Officer, Compliance Job Opening In Singapore, Singapore – Now Hiring CITIC CLSA

Senior Compliance Officer, Compliance



Job description

Responsibilities

The incumbent will be a member of the Singaporepliance team which has the following shared responsibilities:

- Maintaining and executing the ongoingpliance Monitoring Programme, which includes, amongst others.

  • trade surveillance by analyzing trade data and via the use of SMARTS Broker trade surveillance
  • monitoring of staff dealing activity andpliance with staff dealing policy.
  • monitoring of staff outside directorships, business interests and activities.
  • monitoring of gift and entertainment of staff.
  • monitoring of fly-in-fly-out activities of licensed staff.
  • - Conductingpliance desk reviews/thematic reviews, as may be required, based on emerging risks or new regulatory requirements.

    Centralpliance

  • managing the MAS licensing and SGX registration process for new front office staff.
  • monitoring and following up with existing MAS appointed representatives and SGX trading representatives on their continuing obligations, amongst others, changes in personal particulars and business interests, Continuing Education Program and register of securities.
  • liaising with relevant internal stakeholders toplete surveys/forms/questionnaires requested by MAS/SGX.
  • handling simple requests and queries from regulators/auditors.
  • ensuring that allpliance correspondences/records and registers are duly tracked and maintained.
  • conductingpliance induction trainings for all new staff and other basic trainings as may be required by the Head ofpliance Singapore.
  • ensuring that staffpletes all mandatorypliance trainings and declarations.
  • assisting withpliance reporting to local and group management.
  • responding to simple internal queries, for example, those relating to licensing requirements or grouppliance policies/procedures such as staff dealing, outside business interests, and gift and entertainment, etc.
  • assisting the Head ofpliance Singapore, to track and manage regulatory changes/new regulatory requirements.
  • be part of a project team to manage new regulatory changes or new business activities, as may be required by the Head ofpliance Singapore.
  • assisting the Head ofpliance Singapore, to handle all internal/external audits and MAS/SGX inspections.
  • assisting the Head ofpliance Singapore to draft localpliance policies and procedures, as may be required.
  • assisting with all other ad-hoc tasks as may be required.
  • Requirements

  • The opportunity is open to candidates who have 8 - 10 years of experience inpliance (excluding AML), Financial Services Regulatorypliance in a big 4 audit firm, or with a securities regulator.

    Candidates with previous working experience with the MAS will be advantageous.
  • Excellent analytical skills and quick logical thinking ability.
  • Strong interpersonal skills.
  • Good writing and presentation skills.
  • Attention to detail.
  • Ability to operate independently and to multi-task.
  • Proficiency in Microsoft Office Applications for both data collection and interpretation of the results that can presented clearly and concisely.
  • Understanding ofpliance role and risk-basedpliance approach, and ability to identify and remediate keypliance risks.
  • Proficient understanding and application of the Securities and Futures Act and SGX-ST rules.
  • Job ID JR001304


    Required Skill Profession

    Business Operations Specialists



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