Senior Compliance Officer, Compliance

Overview Join to apply for the 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 #J-18808-Ljbffr