Senior Associate, Operational Risk & Compliance

CGS International Securities Hong Kong Limited; Singapore; On-site; SGD 90,000 - 130,000; Full time

Job summary

CGS International Securities Hong Kong Limited is seeking an experienced compliance professional to act as the DCORO and lead risk controls across the unit. The role entails coordinating RCSA, CET, and KRI monitoring, and maintaining audit-ready documentation for control testing.

You will oversee user access reviews, BCP testing, and support staff trading reviews and restriction lists while reviewing regulatory notifications and escalations related to market conduct.

Qualifications

• Min. 3 years relevnt experience preferred.
• Bachelor's Degree required.

Responsibilities

• Act as Departmental Compliance Operational Risk Officer (DCORO).
• Coordinate Compliance RCSA, CET, and KRI monitoring.
• Maintain audit-ready evidence and documentation for control testing.
• Oversee User access reviews and BCP testing.
• Review compliance matrices and self-testing results from Business Units.
• Assess exceptions, identify control weaknesses, and follow up on remediation actions.
• Support staff personal trading reviews and restricted/watch list administration.
• Perform trade surveillance reviews and investigations for market conduct.
• Review escalations from AML and business units involving trading activities.

Skills

SFA knowledge

SGX rules

Analytical skills

MS Office

Education

Bachelor's Degree

Tools

MS Excel

Regulatory systems

Job description

CGS International Securities Hong Kong Limited is seeking an experienced compliance professional to act as the DCORO and lead risk controls across the unit. The role entails coordinating RCSA, CET, and KRI monitoring, and maintaining audit-ready documentation for control testing.

You will oversee user access reviews, BCP testing, and support staff trading reviews and restriction lists while reviewing regulatory notifications and escalations related to market conduct.