Senior Compliance Officer, Compliance

Overview
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Senior Compliance Officer, Compliance
role at
CLSA .
The Senior Compliance Officer will report to the Head of Compliance Singapore and is a generalist role with a broad Compliance mandate spanning multiple licensed entities in Singapore and multiple 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.
In addition to the above, the incumbent is expected to demonstrate and develop well-rounded Compliance knowledge and be well-versed in a broad spectrum of Compliance skills, not restricted to specialized Compliance roles.
Key Areas of Responsibilities
The incumbent will be a member of the Singapore Compliance team which shares the following responsibilities:
Compliance Monitoring and Surveillance
Maintaining and executing the ongoing Compliance Monitoring Programme, including trade surveillance by analyzing trade data and via the use of SMARTS Broker trade surveillance
Monitoring of staff dealing activity and compliance with staff dealing policy
Monitoring of staff outside directorships, business interests and activities
Monitoring of gifts and entertainment of staff
Monitoring of fly-in-fly-out activities of licensed staff
- Conducting Compliance desk reviews/thematic reviews as required based on emerging risks or new regulatory requirements.
Central Compliance
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 continuing obligations, 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 that all Compliance correspondences/records and registers are tracked and maintained
Conducting Compliance induction trainings for all new staff and other basic trainings as required by the Head of Compliance Singapore
Ensuring that staff completes all mandatory Compliance trainings and declarations
Assisting with Compliance reporting to local and group management
Compliance Advisory
Responding to simple internal queries related to licensing requirements or group Compliance policies/procedures such as staff dealing, outside business interests, and gift and entertainment
Assisting the Head of Compliance Singapore to track and manage regulatory changes/new regulatory requirements
Being part of a project team to manage new regulatory changes or new business activities as required
Assisting the Head of Compliance Singapore to handle all internal/external audits and MAS/SGX inspections
Assisting the Head of Compliance Singapore to draft local Compliance policies and procedures as required
Assisting with all other ad-hoc tasks as required
Requirements
8 - 10 years of experience in Compliance (excluding AML), Financial Services Regulatory Compliance in a Big 4 audit firm, or with a securities regulator; candidates with MAS experience are advantageous
Excellent analytical skills and quick logical thinking
Strong interpersonal skills
Good writing and presentation skills
Ability to operate independently and to multi-task
Proficiency in Microsoft Office Applications for data collection and interpretation of results
Understanding of a 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
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Other
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