Compliance Officer | Singapore, SG | In-Office

1 day ago

Singapore DA Financial Service Full time

Compliance Officer DA Financial Service Singapore
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Posted 5 days ago In-Office Job Permanent S$5k - S$7k
Join our dynamic team as a Compliance Officer, where you'll provide essential advisory support to both front and back office teams, ensuring compliance with laws and regulations. You'll conduct comprehensive reviews, including trade surveillance and AML, and develop innovative compliance programs. Collaborating with auditors and regulatory authorities, you'll communicate key findings and drive policy updates. Your role will also involve conducting customer due diligence and leading training sessions to enhance staff awareness of compliance matters. If you're passionate about fostering a compliant culture and eager to make an impact, we want to hear from you
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.
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