Compliance Executive

2 weeks ago

Singapore STRAITS FINANCIAL SERVICES PTE. LTD. Full time

**The Team**:
The Team is responsible for putting in place and executing proper level-two governance and reporting mechanisms for financial crime and compliance, including for existing business and implementation of new businesses, addressing any AML, compliance and regulatory risks faced by the company. The team is also primary responsible for liaising with legal counsel to address legal documentation and legal risk issues. Compliance works closely with other departments in the organization to ensure compliance risks are effectively addressed with proper processes as well as Chief Operating Officer for group reporting and oversight.

**Responsibilities**:
Your primary responsibilities will be:

- **Financial Crime Prevention**

1) Establishing and maintaining policies, systems and processes to counter the risks of the Company’s involvement in money laundering, terrorist financing, weapons proliferation and sanctions, as well as filing of suspicious transaction reports;
2) Coordinate and review regular transaction monitoring and analysis from a financial crime perspective;
3) Responsible for maintaining and ensuring senior management is aware of the enterprise-wide AML risk assessment for the Company as well as the corresponding mitigation measures;
- **Regulatory Compliance**

1) Managing regulatory compliance across all local entities within the Group;
2) Proactively anticipate and research on new regulatory requirements, including consultation papers, propose and follow through with implications on the business and implementation actions;
3) Endorse annual compliance calendar and programs, ensuring adherence to ongoing obligations;
4) Coordinate with counterparties on regulatory requests and ensure prompt follow-up;
5) Responsible for following-up on trade surveillance alerts and liaising with relevant departments as necessary;
6) Responsible for fund movement surveillance;
7) Responsible for daily regulatory and compliance operations, such as daily exchange reporting and other periodic regulatory reporting;
8) Responsible for licensed representatives’ licensing matters.
- **Internal compliance**

1) Provide 2nd level monitoring and management of compliance to internal policies and procedures;
- 2) Managing and dealing with matters relating to Code of Conduct, errors, complaints, as well as incidents (together with HR where necessary);
3) Process improvements and other ad-hoc projects, including system implementation and testing, in relation to the above scope;
4) All other tasks as allocated by Compliance Team Lead or Chief Operating Officer from time to time.

**Requirements**:
You should possess the following:

- Familiar with AML/KYC tools and financial crime prevention standards for traditional financial institutions, physical commodities, as well as the up-and-coming fintech space;
- Well-versed with regulatory obligations of SFA, FAA, as well as exchange regulations (e.g. CME, ICE, SGX), as well as the newly introduced PSA, and changing regulatory landscape of digital assets;
- Able to work in high pressure environment;
- Strong interpersonal skills and able to handle a variety of personalities;
- Team player but able to work independently;
- Meticulous, mature with a positive work attitude;
- Comfortable and fluent in English and Mandarin as the role requires dealings with Chinese speaking Associates.

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