Senior Compliance Officer – Trading & Regulatory Risk

CLSA; Singapore; On-site; SGD 90,000 - 150,000; Full time

Job summary

CLSA in Singapore hosts a broad Compliance mandate across multiple licensed entities and business lines, reporting to the Head of Legal and Compliance with support from head office. The role offers exposure to institutional cash equities, research, Delta One, equity derivatives, fixed income, ECM, DCM and asset management activities.

The incumbent will develop well-rounded Compliance knowledge, work under a shared framework, and assist with monitoring, advisory duties and regulatory interactions

Qualifications

• At least 3 years of compliance/audit/regulatory experience in financial services.
• Excellent analytical and quick logical thinking skills.
• Strong written and verbal communication; presentation abilities.
• Proven ability to work independently and multi-task.
• Proficiency in MS Office for data analysis and reporting.
• Understanding of Securities and Futures Act and SGX-ST rules.

Responsibilities

• Maintaining and executing the ongoing Compliance Monitoring Programme.
• Trade surveillance analysis using SMARTS Broker.
• Monitoring staff dealing activity and staff gifts/entertainment.
• Handling MAS licensing and SGX registration for new front office staff.
• Assisting with internal/external audits and MAS/SGX inspections.
• Drafting local Compliance policies and procedures.

Skills

Analytical skills

Interpersonal skills

Writing and presentation skills

Independent multi-tasking

MS Office proficiency

Risk-based compliance

Tools

SMARTS Broker

MS Excel

PowerPoint

Job description

CLSA in Singapore hosts a broad Compliance mandate across multiple licensed entities and business lines, reporting to the Head of Legal and Compliance with support from head office. The role offers exposure to institutional cash equities, research, Delta One, equity derivatives, fixed income, ECM, DCM and asset management activities.

The incumbent will develop well-rounded Compliance knowledge, work under a shared framework, and assist with monitoring, advisory duties and regulatory interactions