Analyst, Compliance Officer, Compliance

CLSA; Singapore; Sur place; SGD 60 000 - 90 000; Plein temps

Résumé du poste

CLSA Singapore is seeking a proactive Compliance professional to join the Singapore Compliance team reporting to the Head of Legal and Compliance. The role covers a broad mandate across licensed entities in Singapore and multiple business lines, including institutional trading, research, and asset management.

The incumbent will gain well-rounded exposure to Compliance monitoring, advisory, and central compliance activities, while maintaining regulatory relationships and delivering training.

Qualifications

• At least 3 years of Compliance/audit/regulatory experience in the financial services sector.
• Experience in compliance monitoring/testing is advantageous.
• Excellent analytical skills and quick logical thinking.
• Strong interpersonal and communication skills.
• Attention to detail and ability to multi-task.
• Proficiency in Microsoft Office for data collection and presentation.
• Understanding of risk-based compliance and remediation.
• Basic understanding of Securities and Futures Act and SGX-ST rules.

Responsabilités

• Maintain and execute the ongoing Compliance Monitoring Programme.
• Conduct trade surveillance using SMARTS Broker.
• Monitor staff dealing activity and policy compliance.
• Monitor staff outside directorships and business interests.
• Monitor gifts and entertainment and fly-in/fly-out activities.
• Carry out compliance desk reviews and thematic reviews based on risks.
• Manage MAS licensing and SGX registration for new front office staff.
• Follow up with MAS-appointed and SGX trading reps on obligations and CE/registrations.
• Liaise with internal stakeholders to complete MAS/SGX surveys and questionnaires.
• Handle simple regulator/auditor queries and maintain compliance records.
• Conduct induction training and assist with mandatory compliance trainings.
• Assist with compliance reporting to local and group management.
• Assist with licensing changes and regulatory developments.

Connaissances

Analytical skills

Interpersonal skills

Written communication

Attention to detail

Multitasking

MS Office

Risk awareness

SFA knowledge

Outils

SMARTS Broker

Description du poste

Position Description

As a member of the Singapore Compliance team reporting to the Head of Legal and Compliance, Singapore, and with further support from head office, the incumbent will have 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, Delta One & Equity Derivatives, fixed income sales and trading, ECM, DCM and asset management businesses.

In addition to the above, given the broad mandate of this role, it is expected that the incumbent will have the opportunity to develop well-rounded Compliance knowledge and be well-versed in a broad spectrum of Compliance skills, and not be restricted to specialized Compliance roles.

Key Areas of Responsibilities

The incumbent will have the following shared responsibilities with other members of the Singapore Compliance team:

Compliance Monitoring and Surveillance

• Maintaining and executing the ongoing Compliance Monitoring Programme, which includes, amongst others:

• Trade surveillance by analysing trade data and via the use of SMARTS Broker trade surveillance tool;

• Monitoring of staff dealing activity and compliance with staff dealing policy;

• Monitoring of staff outside directorships, business interests and activities;

• Monitoring of gift and entertainment of staff;

• Monitoring of fly-in-fly-out activities of licensed staff;

• Conducting Compliance desk reviews/thematic reviews, as may be required, based on emerging risks or new regulatory requirements;

Central Compliance

• Managing the MAS licensing and SGX registration process for new front office staff;

• Monitoring and following up with existing MAS appointed representatives and SGX trading representatives on their continuing obligations, amongst others, changes in personal particulars and business interests, Continuing Education Program and register of securities;

• Liaising with relevant internal stakeholders to complete surveys/forms/questionnaires requested by MAS/SGX;

• Handling simple requests and queries from regulators/auditors;

• Ensuring that all Compliance correspondences/records and registers are duly tracked and maintained;

• Conducting Compliance induction training for all new staff and other basic training as may be required by the Head of Compliance, Singapore;

• Facilitating staff completion of mandatory Compliance trainings and declarations;

• Assisting with Compliance reporting to local and group management;

Compliance Advisory (depending on bandwidth)

• Responding to simple internal queries, for example, those relating to licensing requirements or group Compliance policies/procedures such as staff dealing, outside business interests, and gift and entertainment, etc;

• Assisting the Head of Compliance, Singapore, to track and manage regulatory changes/new regulatory requirements;

• Be part of a project team to manage new regulatory changes or new business activities, as may be required by the Head of Compliance, Singapore;

• Assisting the Head of Compliance, Singapore, to handle all internal/external audits and MAS/SGX inspections;

• Assisting the Head of Compliance, Singapore, to draft local Compliance policies and procedures, as may be required; and

• Assisting with all other ad-hoc tasks as required by the Head of Compliance, Singapore.

Requirements

• At least 3 years of Compliance/audit/regulatory experience in the financial services sector

• Compliance monitoring/testing experience will be an advantage

• Excellent analytical skills and quick logical thinking ability

• Strong interpersonal skills

• Good writing and presentation skills

• Attention to detail

• Ability to operate independently and to multi-task

• Proficiency in Microsoft Office Applications for both data collection and interpretation of the results that can presented clearly and concisely

• Understanding of Compliance role and risk-based Compliance approach, and ability to identify and remediate key Compliance risks

• Basic understanding and application of the Securities and Futures Act and SGX-ST rules