Senior Compliance Officer

2 weeks ago

Singapore CMB International Capital Corporation Limited Full time

CMB International Capital Corporation Limited SingaporePosted 32 minutes ago Permanent S$5k - S$10k
- Posted by
- CMBI HR- RecruiterFollow

**Responsibilities**:

- Lead provider of day-to-day advice relating to Private Wealth Management business and control room function - restricted list, entertainment & gifts, personal account dealing, conflict of interest and annual attestation, etc.;
- Develop and work with Head of Compliance & Risk (SG) and CMBI Group Head of AML Compliance (HK) to implement policies, procedures, systems and other controls in relation to Financial Crime Compliance such as Anti-Money Laundering (AML)/Counter-Terrorism Financing (CTF), Fraud, Sanctions, Anti-Bribery and Corruption (ABC), Cyber Crime and Market Abuse. Assist the Head of Compliance & Risk in Enterprise Wide Risk Assessment of CMBISG;
- Effective planning and delivery of control room function, including maintaining restricted list, entertainment & gifts, PA dealing, conflicts of interest and annual ‘Fit and Proper’ attestation etc.;
- Main point of contact on Private Wealth Management business processes such as account opening review, third party transfer and large fund withdrawal/deposit.
- Support the development of compliance related policies and lead implementation through development and implementation of related procedures, preparation and delivery of training and providing guidance and other post-implementation support;
- Compliance review and approval of marketing materials, client communications and other client facing documentation;
- Support the Head of Compliance & Risk in FACTA/CRS reporting;
- Provide periodic reporting and escalation of issues to Head of Compliance & Risk on a timely basis so as to strengthen the compliance culture in CMBISG;
- Maintaining complaint, breach & error reporting and other key compliance records;
- To support the Compliance & Risk functions in discharging its responsibilities as required generally, and specifically, in terms of dealing with risk and regulatory matters;
- Knowledge in credit review, trading limit, product/margin financing business.
- Ad-hoc tasks assigned by Head of Compliance & Risk.

**Requirements**:

- Minimum 5-7 years of relevant experience preferably in brokerage house and corporate finance company.
- Experience in leading compliance projects in terms of financial crime (AML/CFT controls), trading and control room function.
- Analytical and investigative skills and the ability to speak out and act when appropriate.
- The ability to work efficiently and effectively both alone and also collaboratively as part of a team.
- Excellent problem solving and issue resolution skills.
- Excellent time management skills and ability to work to tight deadlines and under pressure.
- Proficient in English and Chinese.

  • Senior Compliance Officer

    1 week ago

    Singapore Xtx Markets Pte. Ltd. Full time

    The Firm XTX Markets is a leading algorithmic trading firm which uses state-of-the-art machine learning technology to produce price forecasts for over 50,000 financial instruments across equities, fixed income, currencies, commodities and digital assets. It uses those forecasts to trade on exchanges and alternative trading venues, and to offer differentiated...

  • Senior Compliance Officer, Compliance

    5 days ago

    Singapore CLSA Global Markets Pte Ltd Full time

    Senior Compliance Officer, Compliance Apply locations: Singapore Time type: Full time Posted on: Posted 4 Days Ago Job requisition id: JR Position Description The Senior Compliance Officer will report to the Head of Compliance Singapore and is a generalist role with the exciting opportunity to be given broad Compliance mandate which extends to a number of...

  • Senior Compliance Officer

    7 days ago

    Singapore Xtx Markets Pte. Ltd. Full time $150,000 - $250,000 per year

    The FirmXTX Markets is a leading algorithmic trading firm which uses state-of-the-art machine learning technology to produce price forecasts for over 50,000 financial instruments across equities, fixed income, currencies, commodities and digital assets. It uses those forecasts to trade on exchanges and alternative trading venues, and to offer differentiated...

  • Senior Compliance Officer

    5 days ago

    Singapore Nuvei Full time

    Role Overview We are seeking a highly skilled and experienced Senior Compliance Officer & MLRO to manage aspects of regulatory compliance and financial crime prevention. This role is critical in ensuring the organisation meets its legal and regulatory obligations, with a particular focus on anti-money laundering (AML), counter-terrorist financing (CTF), and...

  • Compliance Manager

    6 days ago

    Singapore IQ EQ REGULATORY COMPLIANCE (SINGAPORE) PTE. LTD. Full time

    **Position Summary**: Support and assist IQEQ’s investment adviser client by providing regulatory compliance services through oversight of the execution and continuous improvement of the client’s compliance program, which meet the requirements of SEC Rules 206(4)-7 and 38a-1, including other state and federal securities laws and regulations. Update the...

  • Compliance Officer

    5 days ago

    Singapore Schonfeld Full time

    Join to apply for the Compliance Officer role at Schonfeld Join to apply for the Compliance Officer role at Schonfeld The Role We are seeking to hire an exceptional Compliance Officer to join our Singapore office. This role will report into the Head of Compliance APAC, based in Hong Kong, and hold several critical profiles and responsibilities for the...

  • Compliance Manager

    4 days ago

    Singapore Office of Risk Management and Compliance Full time

    **Posting Start Date**:21/01/2025 About ORMCAt NUS Office of Risk Management and Compliance (ORMC), we not only manage risks to build the University’s resilience but also help shape them into opportunities to empower the community. We will continually support and partner with our stakeholders within the University to make this possible. DATA PRIVACY -...

  • Senior Compliance Officer

    6 days ago

    Singapore Straits Financial 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...

  • Senior Compliance Officer, Compliance

    7 days ago

    Singapore CLSA Full time $120,000 - $180,000 per year

    Position DescriptionThe Senior Compliance Officer will report to the Head of Compliance Singapore and is a generalist role with the exciting opportunity to be given broad Compliance mandate which extends to a number of licensed entities in Singapore and multiple business lines, including, institutional cash equities sales and trading, research, futures &...

  • Compliance Officer

    6 days ago

    Singapore TANGSPAC CONSULTING PTE LTD Full time

    Regulatory Management Timely manage regulatory changes, updates and obligations such as gap analysis, update policies and procedures to ensure timely implementation and compliance, and perform an annual review of relevant policies & procedures. AML/CFT Fulfil AML/CFT Enterprise Wide Risk Assessment Support relevant offices with the annual review of ML/TF...