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Compliance Officer

2 weeks ago

Singapore DA Financial Service Full time

**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.