Compliance Officer

2 weeks ago

Singapur, Singapore moomoo Full time
Job Summary

The Compliance Officer is a critical role within our organization, responsible for ensuring adherence to all relevant laws, regulations, and internal policies. This position involves overseeing surveillance services to detect behaviors that may violate regulatory rules or Moomoo's internal policies and procedures. Effective communication with various departments is essential for maintaining a robust compliance program.

Key Responsibilities
  • Investigate and assess transaction monitoring alerts, collaborating 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 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.
Requirements
  • Preferably hold a degree or diploma 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 hold Professional certifications in compliance (e.g., CAMS, ICA Diploma).
  • English speaking and fluency in Mandarin is an added advantage.
Benefits
  • Be 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 a peace of mind.
  • Fun-loving and diverse work environment that hosts various team-bonding programs and company events.
  • Business casual work attire every day.
  • And much more: discover even more perks and benefits as we take you through the hiring process.

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