Compliance Associate

OPTIMUM SOLUTIONS (SINGAPORE) PTE LTD; Singapore; On-site; SGD 54,000 - 90,000; Full time

Job summary

OPTIMUM SOLUTIONS (SINGAPORE) PTE LTD is seeking a compliance-focused professional to lead the implementation of an employee compliance platform and ensure regulatory adherence.

You will conduct comprehensive employee compliance checks, perform periodic reviews, monitor shareholdings, and coordinate with teams for regulatory surveys and reports. AI tools will be leveraged to enhance efficiency and risk management.

Qualifications

• Degree in Accountancy, Business, Finance, Law, or related disciplines with focus on financial regulations.
• 1–2 years of compliance, audit, or risk management experience in asset management or capital markets.
• Ability to apply AI-based problem solving to improve processes.
• Self-motivated, well-organised, independent and able to handle multiple tasks.
• Strong English written and spoken communication.

Responsibilities

• Conduct employee-related compliance checks including personal trading, gifts and entertainment, outside business activities, conflicts of interest, mandatory leave monitoring, employee due diligence, and compliance training.
• Perform periodic compliance reviews to evaluate adherence to Singapore financial regulations and identify areas for improvement.
• Monitor and report substantial shareholdings for transparency and regulatory compliance.
• Coordinate with internal teams to prepare and submit regulatory surveys, filings, notifications, and reports for regulators.
• Monitor regulatory developments and assess their impact on policies and operations.
• Assist internal and external auditors during regulatory audits with documentation and clarifications.
• Support compliance initiatives and projects, including leveraging AI tools to enhance efficiency.
• Engage in additional regulatory compliance areas as needed.

Skills

Compliance experience

Audit experience

Risk management

AI problem solving

Multitasking

Organization

English proficiency

Education

Degree in Accountancy/Business/Finance/Law with focus on financial regulations

Job description

Company Overview

OPTIMUM SOLUTIONS (SINGAPORE) PTE LTD is a Singapore-headquartered IT outsourcing firm specializing in software engineering, application development, IT infrastructure management, and digital transformation services since 1997.

Job Summary

You will provide compliance coverage for a client and lead the implementation of an employee compliance platform to ensure regulatory adherence and operational excellence.

Responsibilities

• Conduct employee-related compliance checks covering personal trading, gifts and entertainment, outside business activities, conflicts of interest, mandatory leave monitoring, employee due diligence, and compliance training to mitigate risks.
• Perform periodic compliance reviews to evaluate adherence to Singapore financial regulations and identify areas for improvement.
• Monitor and report substantial shareholdings to ensure transparency and regulatory compliance.
• Coordinate with internal teams to prepare and submit regulatory surveys, filings, notifications, and reports for the company, its representatives, or funds to relevant regulators.
• Monitor regulatory developments continuously and assess their impact on company policies and operations.
• Assist internal and external auditors during regulatory audits by providing necessary documentation and clarifications.
• Support compliance and operational initiatives and projects, including leveraging AI tools to enhance process efficiency.
• Engage in additional regulatory compliance areas based on demonstrated aptitude and business needs.

Preferred competencies and qualifications

• Degree in Accountancy, Business, Finance, Law, or related disciplines from a recognised university, with a focus on financial regulations.
• 1 to 2 years of experience in compliance, audit, or risk management within asset management or capital markets.
• Ability to apply problem-solving skills, particularly using AI, to improve operational processes.
• Self-motivated, well-organised, independent, and capable of managing multiple tasks effectively.
• Proficient command of written and spoken English.