Contract Compliance Officer

MIRAE ASSET SECURITIES (SINGAPORE) PTE. LTD.; Singapore; Sur place; SGD 76 000 - 100 000; Plein temps

Résumé du poste

MIRAE ASSET SECURITIES (SINGAPORE) PTE. LTD. is recruiting a Contract Compliance Officer to support the firm’s regulatory risk management and compliance initiatives in a dynamic market environment.

The six-month contract will involve executing compliance projects, coordinating audits, delivering training, maintaining the compliance register, and providing operational support to the Compliance Department across business units.

Qualifications

• Bachelor’s degree or equivalent in a relevant field.
• CAMS certification or ICA diploma/certification is an advantage.
• Minimum of 5 years of demonstrated working experience in Compliance.
• Knowledge of SFA 2001, Financial Advisers Act 2001, PDPA 2012, SGX Regulations.
• Experience at a Capital Markets Services Licensee is advantageous.

Responsabilités

• Assist in the execution and implementation of projects, systems, framework, policies and procedures to support new business initiatives and compliance requirements.
• Conduct surveillance and monitoring compliance across business units to ensure compliance with internal policies and procedures.
• Assist in the coordination of internal and external audits, designing and delivery of compliance training, maintenance of compliance register, and any other duties as assigned.
• Provide administrative and operational support to the Compliance Department and perform other compliance-related duties and projects as assigned.

Connaissances

Compliance experience

Regulatory knowledge

Audits coordination

Attention to detail

Project execution

Formation

Bachelor’s degree

CAMS certification or ICA certification (advantage)

Description du poste

As part of our expansion, we are seeking a Contract Compliance Officer to support the firm in managing regulatory risk and compliance matters.

The position is offered on an initial 6-month contract, with the possibility of extension subject to business requirements and performance.

The successful candidate will assist in ensuring the firm’s compliance with applicable regulatory requirements, internal policies, and relevant industry standards.

Responsibilities:

• Assist in the execution and implementation of projects, systems, framework, policies and procedures to support new business initiatives and compliance requirements.
• Conduct surveillance and monitoring compliance across business units to ensure compliance with internal policies and procedures.
• Assist in the coordination of internal and external audits, designing and delivery of compliance training, maintenance of compliance register, and any other duties as assigned.
• Provide administrative and operational support to the Compliance Department and perform other compliance-related duties and projects as assigned.

Requirements:

• Bachelor’s degree or equivalent. CAMS certification, ICA diploma or certification will bean advantage.
• Minimum of 5 years of demonstrated working experience in Compliance. Previous experience at a Capital Markets Services Licensee would be advantageous.
• Knowledge of Securities and Futures Act 2001, Financial Advisers Act 2001, Personal Data Protection Act 2012, Singapore Exchange Regulations and understanding of sales and trading products and practices.
• Self-starter, detail oriented and able to multi-task in a fast-paced environment.