Analyst, Compliance - 12 months contract

About the Job

The duties of the Analyst – Compliance officer will be mainly to assist the Compliance team in performing the compliance reviews and trade surveillance reviews in accordance with the work plan. Other duties may include providing regulatory guidance to internal stakeholders in accordance with relevant regulations.

Job Responsibilities

• Provide compliance advisory support and guidance to back and front office regarding compliance with applicable laws, regulations and rules.
• Develop compliance review programmes, self-assessment questionnaire and any other compliance programmes as may be required by Head of Department, front and back office, parent company, regulators and authorities.
• Conduct Compliance reviews and testing including trade surveillance, AML and BSC, and escalate any breaches of regulatory requirements or misconduct or company policies.
• Review and process licensing-related matters of trading representatives (e.g. application for license).
• Carry out any compliance tasks or projects as and when necessary as directed by the Head of Department.
• Review and update policies and procedures.
• Monitor for regulatory updates and ensure effective implementation of the revised regulatory requirements.
• Carry out awareness briefing and staff training on regulatory requirements, company policies and procedures.

Requirements

• Degree holder with 3-5 years of relevant experience.
• Familiarity with the relevant laws, regulations and exchange rules in the securities and/or futures market (e.g. SFA, FAA, SGX-ST Rules, Futures Trading Rules) is a plus.
• Meticulous, positive attitude and pro-active.
• Strong communication, interpersonal, analytical and organizational skills.
• Team player yet able to work independently and interact with people at all levels.
• Candidates with relevant compliance or auditing experience with 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.
• Candidates with experience providing advisory on rules and regulations are preferred.
• Candidates with industry knowledge looking to pivot into Compliance may be considered.