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Compliance Officer

2 weeks ago

Singapore NANHUA Singapore Pte. Ltd Full time

**Company Introduction**

NANHUA Singapore Pte. Ltd. (“NANHUA Singapore”) is a wholly owned subsidiary of Nanhua Futures Co., Limited (SH.603093). NANHUA Singapore holds a Capital Market Services Licence issued by Monetary Authority Singapore (MAS), is a trading and clearing member of the derivatives markets of Singapore Exchange (SGX) and Asia Pacific Exchange (APEX), also a recognized overseas broker of Dalian Commodity Exchange (DCE), Shanghai International Energy Exchange (INE) and Zhengzhou Commodity Exchange (ZCE). NANHUA Singapore provides institutional and retail customers with full-suites of broking services including trading and clearing in Global Futures and Options, Leveraged Foreign Exchange, and OTC Commodities. We work towards transforming NANHUA Singapore into a world-class financial institution.

**Key Responsibilities and Expectations**
- Provide ongoing compliance support and advice on day-to-day operations in compliance with the Company’s compliance framework, including new business initiatives, products and projects, outsourcing arrangements and third-party arrangements.
- Proactively monitor and assess new and emerging regulations issued by MAS, Exchanges and other relevant regulatory authorities.
- Develop and maintain compliance framework and policies to ensure compliance to regulatory requirements.
- Assess the adequacy and effectiveness of internal controls, procedures and guidelines to ensure all significant Compliance risks are identified and managed appropriately.
- Provide regulatory compliance trainings for staff.
- Drive and/or participate in projects to implement internal policies or regulatory requirements.
- Collaborate closely with other HGNH entities including the group’s head quarter in China and the legal entities in Hong Kong, UK and US in order to ensure consistency, efficiency and accomplishment of the group’s Compliance framework.
- Coordinate and liaise with regulatory authorities on regulatory enquiries, reporting, inspection or investigation.
- Collate FATCA and CRS reports and other regulatory reports for submission to regulator.
- Coordinate internal and external audits within compliance department, including commenting on and closing audit findings and/or recommendations.
- Perform review of customer accounts and alerts for possible suspicious transactions
- Responsible for end-to-end AML compliance advisory and manage a broad spectrum of AML compliance risk issues to safeguard business activities
- Monitoring the effectiveness of AML program and any corrective actions taken.
- Any other work or project assigned by the Senior Management.

**Requirements**:

- Bachelor or equivalent and compliance experience;
- At least 1 years of experience as Compliance Officer in the Financial Services Industry in an institutional context in the APAC region, with a focus in Singapore;
- Extensive working experience with MAS will be a plus;
- Strong stakeholder management skills;
- Proven experience in helping a business function to further develop and finding the most; relevant solutions to support sustainable long-term growth;
- Proven experience in explaining and implementing compliance framework;
- Team player, results, and solution oriented, self-directed and precise worker;
- Recognized as a reliable and trusted business partner;
- Maturity and confidence to interact with MAS staff and senior management group stakeholder.
- Good command of spoken and written English and Chinese.

**Salary**: $3,500.00 - $5,000.00 per month

Schedule:

- Monday to Friday

**Experience**:

- compliance: 3 years (preferred)