Senior Compliance Professional

The Senior Compliance Officer will report to the Head of Compliance Singapore and is a generalist role with a broad Compliance mandate extending to multiple licensed entities in Singapore and various business lines, including institutional cash equities sales and trading, research, futures & options, Delta One & Equity Derivatives, fixed income sales and trading, wealth management, investment banking (M&A, ECM & DCM) and asset management businesses.

In addition to the above, this role requires demonstrating and developing well-rounded Compliance knowledge and being well-versed in a wide range of Compliance skills, without being restricted to specialized Compliance roles.

• As a member of the Singapore Compliance team, you will participate in shared responsibilities, including:

1. Maintaining and executing the ongoing Compliance Monitoring Programme, which involves analyzing trade data using SMARTS Broker trade surveillance, monitoring staff dealing activity and compliance with staff dealing policy, monitoring staff outside directorships, business interests and activities, monitoring gift and entertainment of staff, and monitoring fly-in-fly-out activities of licensed staff.
2. Conducting Compliance desk reviews/thematic reviews as required, based on emerging risks or new regulatory requirements.

• 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, including changes in personal particulars and business interests, Continuing Education Program and register of securities.
• Liaising with internal stakeholders to complete surveys/forms/questionnaires requested by MAS/SGX.
• Handling simple requests and queries from regulators/auditors.
• Ensuring all Compliance correspondences/records and registers are duly tracked and maintained.
• Conducting Compliance induction trainings for all new staff and other basic trainings as required by the Head of Compliance Singapore.
• Ensuring staff completes all mandatory Compliance trainings and declarations.
• Assisting with Compliance reporting to local and group management.

• Responding to internal queries regarding licensing requirements or group Compliance policies/procedures such as staff dealing, outside business interests, and gift and entertainment, etc.
• Assisting the Head of Compliance Singapore in tracking and managing regulatory changes/new regulatory requirements.
• Participating in project teams to manage new regulatory changes or new business activities as required by the Head of Compliance Singapore.
• Assisting the Head of Compliance Singapore in handling internal/external audits and MAS/SGX inspections.
• Assisting the Head of Compliance Singapore in drafting local Compliance policies and procedures as required.
• Assisting with all other ad-hoc tasks as may be required.

Candidates with years of experience in Compliance (excluding AML), Financial Services Regulatory Compliance in a big 4 audit firm, or with a securities regulator will be considered. Previous working experience with the MAS is advantageous.

Excellent analytical skills and quick logical thinking ability.

Strong interpersonal skills.

Good writing and presentation skills.

Ability to operate independently and multitask.

Proficiency in Microsoft Office Applications for data collection and interpretation.

Understanding of Compliance role and risk-based Compliance approach, and ability to identify and remediate key Compliance risks.

Proficient understanding and application of the Securities and Futures Act and SGX-ST rules.