Compliance Officer

Doo Group; Singapore; On-site; SGD 80,000 - 100,000; Full time

Job summary

Join a forward-thinking financial services group focused on FinTech. This role involves conducting compliance reviews, investigating trading irregularities, and collaborating with stakeholders to ensure regulatory adherence. The company is committed to innovation and growth, providing a dynamic environment where your contributions will help shape the future of financial services. If you're detail-oriented and passionate about compliance, this is an exciting opportunity to make a significant impact in a global organization.

Qualifications

• Degree in a relevant field such as Economics, Law, or Business.
• Understanding of Singapore's regulatory framework for financial services.

Responsibilities

• Conduct daily reviews of trade surveillance reports.
• Investigate complaints regarding trading irregularities.
• Implement compliance initiatives according to the Compliance Plan.

Skills

Compliance Analysis

Regulatory Reporting

Attention to Detail

Communication Skills

Problem Solving

Education

Degree in Economics

Degree in Law

Degree in Business

Degree in Accounting

Job description

Doo Group is a global financial services group with FinTech as its core. With our 10 major business lines, spanning Brokerage, Wealth Management, Property, Payment & Exchange, FinTech, Financial Education, Health Care, Consulting, Cloud, and Digital Marketing, Doo Group has seamlessly provided clients with comprehensive products and services across the world. Through a one-stop approach, Doo Group remains committed to helping our clients achieve an ideal financial life while moving towards a better future together!

Looking for a New Challenge? Join Us as We Expand Globally!

As we continue our global business expansion, we’re on the lookout for talented individuals who are motivated to support our strategic goals and initiatives. Join a team that values innovation and growth.

DOO you have what it takes?

Job Duties:

Conduct daily reviews of securities and derivatives trade surveillance exception reports to identify potential prohibited trading practices.

Escalate any breaches of regulatory requirements, errors, or violations of company policies.

Review, prepare, and file Suspicious Transaction Reports (STR) with the relevant authorities.

Investigate complaints or feedback regarding potential trading irregularities and examine any identified breaches of regulatory compliance.

Collaborate with internal stakeholders to address regulatory inquiries and requests related to potential market misconduct by trading representatives or clients.

Anti-Money Laundering/Counter Financing of Terrorism (AML/CFT) Duties:

Perform monthly reviews of AML transaction monitoring systems to detect suspicious activities in customer statements and submit STRs when necessary.

Conduct ongoing monitoring and follow-up reviews of customer activities categorized as higher risk for money laundering, including those who have been flagged with STRs.

Regulatory Compliance Activities:

Implement compliance initiatives in accordance with the annual Compliance Plan, including reviews of outsourcing arrangements and personal account dealings.

Act as the liaison with regulatory authorities and Head Office regarding significant findings and compliance reporting obligations.

Update the Compliance Manual and relevant policies to ensure alignment with any regulatory changes or updates in internal procedures.

Qualifications:

Degree in Economics, Law, Business, Accounting or any related field.

Understanding of the Singapore regulatory framework for financial services, including the Companies Act, Securities and Futures Act and relevant MAS circulars.

Proven ability to investigate and analyze compliance-related issues and prepare reports.

Excellent communication and collaboration skills to work effectively with internal teams and external stakeholders.

Detail-oriented with strong organizational skills and the ability to manage multiple tasks simultaneously.

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Your application will include the following questions:

Which of the following statements best describes your right to work in Singapore? What's your expected monthly basic salary? How many years' experience do you have as a Compliance Officer? Which of the following languages are you fluent in?

Doo Group, founded in 2014 and headquartered in Singapore, is a global financial services group with a core focus on FinTech. The company operates through six key business lines: Brokerage, Wealth Management, Payment Exchange, FinTech, Financial Education, and Health Care. Doo Group offers comprehensive services and innovative solutions worldwide and regulated by prominent global financial authorities such as the US SEC, US FINRA, UK FCA, AU ASIC, HK SFC, and others. The group's diverse regulatory oversight reflects its commitment to compliance and quality financial services, as it embarks on a journey to explore a better future.

Doo Group, founded in 2014 and headquartered in Singapore, is a global financial services group with a core focus on FinTech. The company operates through six key business lines: Brokerage, Wealth Management, Payment Exchange, FinTech, Financial Education, and Health Care. Doo Group offers comprehensive services and innovative solutions worldwide and regulated by prominent global financial authorities such as the US SEC, US FINRA, UK FCA, AU ASIC, HK SFC, and others. The group's diverse regulatory oversight reflects its commitment to compliance and quality financial services, as it embarks on a journey to explore a better future.