Associate/Manager, Compliance

KGI SECURITIES (SINGAPORE) PTE. LTD.; Singapore; On-site; SGD 70,000 - 90,000; Full time

Job summary

KGI SECURITIES (SINGAPORE) PTE. LTD. is seeking an Associate/Manager - Compliance Officer to provide guidance on regulations and ensure compliance with securities and futures laws. Responsibilities include conducting compliance reviews, developing programmes, and liaising with regulators.

The ideal candidate will have a degree and at least 5 years of relevant experience, strong communication skills, and the ability to work independently. Join an equal opportunity employer committed to compliance excellence.

Qualifications

• Minimum 5 years of relevant experience.
• Familiarity with securities and futures regulations.
• Meticulous and proactive attitude.

Responsibilities

• Provide compliance advisory support to back and front office.
• Conduct compliance reviews and testing including trade surveillance.
• Develop compliance review programmes and self-assessment questionnaires.
• Liaise with regulators and Head Office on major findings.
• Carry out staff training on regulatory requirements.

Skills

Compliance advisory support

Trade surveillance

AML

Regulatory requirements knowledge

Strong communication skills

Analytical skills

Education

Degree holder

Job description

About The Job

The duties of the Associate/Manager - Compliance officer will include providing regulations guidance and training, consultation of securities and futures trading laws, as well as timely update of relevant laws and regulations. It is also responsible for supervising the periodic self-assessment of legal compliance among all units.

Job Responsibilities

• Provide compliance advisory support and guidance to back and front office regarding compliance with applicable laws, regulations and rules
• Conduct Compliance reviews and testing including trade surveillance, AML and BSC, and escalate any breaches of regulatory requirements or misconduct or company policies
• 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
• Carry out any advisory, compliance tasks or projects as and when necessary as directed by the Head of Department
• Review and process registration of trading representatives
• Liaise with relevant regulators and Head Office on any major findings and other compliance reporting requirements
• 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
• Any other ad-hoc responsibilities assigned

Requirements

• Degree holder with minimum 5 years of relevant experience
• Familiarity with the relevant laws, regulations and exchange rules in the securities and/or futures market (SFA, FAA, SGX-ST Rules, Futures Trading Rules, Exchange Rules)
• 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
• Relevant experience in brokerage firms, financial institutions, public accounting firms are encouraged to apply

We are an equal opportunity employer.