Compliance Associate

OPTIMUM SOLUTIONS (SINGAPORE) PTE LTD; Singapore; On-site; SGD 60,000 - 90,000; Full time

Job summary

OPTIMUM SOLUTIONS (SINGAPORE) PTE LTD is seeking a Compliance professional to provide coverage for a client and lead the implementation of an employee compliance platform to ensure regulatory adherence and operational excellence.

You will perform employee-related compliance checks, monitor regulatory developments, and support audits with AI-enabled process improvements, leveraging your knowledge of financial regulations.

Qualifications

• Degree in Accountancy, Business, Finance, Law, or related disciplines with a focus on financial regulations.
• 1–2 years of compliance, audit, or risk management experience in 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.

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.

Skills

AI for processes

English proficiency

Multitasking

Education

Finance/Law degree

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.