Compliance and Fcc Manager

2 weeks ago

Singapore CMC MARKETS SINGAPORE PTE. LTD. Full time

he position is based in Singapore and is responsible for assisting with the management of the compliance function (including AML/CTF & Financial Crime compliance) within the CMC Markets Singapore Invest Pte Ltd brokerage business for listed equities, exchange traded funds, futures and options. Key to the role is acting as the AML/CFT Officer for CMC Markets Singapore Invest Pte Ltd in ensuring the business complies with its AML/CFT obligations and other relevant regulatory requirements, whilst assisting with the management of other compliance-related initiatives and issues.

**ROLE AND RESPONSIBILITIES**
- As the AML/CTF Officer, ensuring CMC Markets Singapore Invest Pte Ltd complies with its AML/CFT obligations according to the MAS AML/CFT regulations;
- Support the daily management of compliance in CMC Markets Singapore Invest Pte Ltd, including maintaining various registers, procedures and ensuring ongoing compliance with external regulations, market practices and industry codes in Singapore;
- Carrying out and supporting the ongoing development of the wider risk-based compliance assurance program in Singapore. This includes maintaining an effective and robust AML/CFT monitoring program and the daily review and clearance of CMC Markets Singapore Invest Pte Ltd’s onboarding and transaction monitoring alerts generated through trade surveillance/monitoring;
- Reporting regularly to the CMC Markets Singapore Invest Pte Ltd’s board and senior management about how the firm is meeting its overall Compliance and AML/CFT obligations, including alerting them to any identified Compliance and/or AML/CFT incidents and/or breaches;
- Ensuring any such incidents or breaches are logged into CMC’s incident management system (Hi-Tech) for reporting and tracking purposes, and reported externally to regulators as required;
- Assisting in the creation, implementation and maintenance of internal policies, procedures and systems for compliance in Singapore, including AML/CFT compliance;
- Investigate and filing reports on suspicious transactions to the regulators, where applicable.
- Assisting in the management of, and response to, compliance audits including AML/CFT and financial crime related audits and external reviews, as well as gathering and supplying information for related regulatory requests and investigations as required. Address any feedback about how CMC Markets Singapore Invest Pte Ltd is managing its compliance risks including AML/CFT risks;
- Provide ongoing AML/CFT & Financial Crime advisory to the business units from the compliance perspective in Singapore, including advisory on other compliance issues;
- Assist in the education and training of staff in accordance with compliance and AML/CFT regulatory obligations; and
- Keep abreast of regulatory developments in Singapore and identify implications. Update internal policies (Singapore Invest AML/xCFT policy, and procedures to reflect any changes.

**EXPERIENCE AND SKILLS**
- Minimum five years’ experience in a Singapore AML/CFT role in a brokerage business;
- Tertiary educated in Economics, Law, Business, Accounting or other suitable qualification;
- Good understanding of Singapore/ global AML/CFT & FCC regulations impacting broker dealer firms;
- Thorough understanding of good compliance practices;
Abilities/competencies:

- Business Acumen
- Influencing
- Team Work
- Leading Others
- Results focused

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