Compliance Analyst: Trade Surveillance & Licensing

CLSA; Singapore; On-site; SGD 60,000 - 90,000; Full time

Job summary

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.

Responsibilities

• 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.

Skills

Analytical skills

Interpersonal skills

Written communication

Attention to detail

Multitasking

MS Office

Risk awareness

SFA knowledge

Tools

SMARTS Broker

Job description

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.