Analyst, Compliance - 12 months contract

KGI SECURITIES (SINGAPORE) PTE. LTD.; Singapore; On-site; SGD 60,000 - 80,000; Full time

Job summary

A financial services company in Singapore is looking for an Analyst – Compliance officer to assist the Compliance team with trade surveillance and compliance reviews. Ideal candidates will have 3-5 years of relevant experience, a strong understanding of industry regulations, and excellent communication skills. This role requires a proactive attitude and the ability to work independently while supporting both front and back office teams. Candidates with compliance experience in financial institutions are preferred. Competitive remuneration and professional development opportunities await.

Qualifications

• 3-5 years of relevant experience in compliance or auditing.
• Familiarity with relevant laws and regulations in the securities market.
• Candidates with market surveillance experience are encouraged to apply.

Responsibilities

• Provide compliance advisory support and guidance to front and back office.
• Develop compliance review programmes and self-assessment questionnaires.
• Conduct compliance reviews and monitor regulatory updates.

Skills

Strong communication skills

Interpersonal skills

Analytical skills

Organisational skills

Team player

Proactive attitude

Education

Degree holder

Job description

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 escalating 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 organisational 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.