Snr Associate, Compliance

CGS INTERNATIONAL SECURITIES SINGAPORE PTE. LTD.; Singapore; On-site; SGD 70,000 - 95,000; Full time

Job summary

CGS International Securities Singapore Pte. Ltd. is seeking a seasoned Compliance professional to oversee reviews, control governance, and risk management across the business unit.

You will coordinate RCSA, CET, and KRI monitoring while maintaining audit-ready evidence and supporting documentation. Responsibilities include overseeing access controls, BCP testing, and remediation follow-ups, as well as managing trade surveillance activities and regulatory inquiries related to trading activities.

Qualifications

• Proficient in English and able to communicate clearly.
• Min. 3 years of relevant experience preferred.
• Bachelor's Degree in a related field or equivalent.
• Familiar with SFA, SGX-ST Rules and SGX-DT Rules.
• Strong understanding of laws, regulations and industry standards.

Responsibilities

• Conduct periodic compliance reviews and document findings.
• Document findings, track remediation actions, and maintain evidence.
• Coordinate RCSA, CET, and KRI monitoring and ensure audit readiness.
• Oversee user access reviews, shared drive reviews, and BCP testing.
• Review compliance matrices and remediation actions across units.
• Support staff trading reviews and restricted/watch list administration.
• Perform trade surveillance reviews and investigations into market misconduct.
• Review escalations from AML and business units regarding trading activities.
• Handle regulatory inquiries and information requests related to trading.
• Facilitate regulatory notifications, including SGX direct business notices.

Skills

English proficiency

Regulatory knowledge

MS Office

Analytical thinking

Communication

Independent and proactive

Multitasking

Education

Bachelor's Degree

Tools

None

Job description

Key Responsibilities:

Compliance Reviews & Monitoring

• Conduct periodic compliance reviews.
• Document findings, track remediation actions, and maintain supporting evidence.

Operational Risk, Controls & Governance

• Act as Departmental Compliance Operational Risk Officer (DCORO).
• Coordinate Compliance Risk & Control Self-Assessments (RCSA), Compliance Effectiveness Testing (CET), and Key Risk Indicator (KRI) monitoring.
• Maintain audit-ready evidence and supporting documentation for all control testing activities.
• Oversee User access and shared drive reviews and Business Continuity Planning (BCP) and testing.
  

Business Unit Compliance Oversight

• Review Compliance Matrices and self-testing results submitted by Business Units.
• Assess exceptions, identify control weaknesses, and follow up on remediation actions.

Control Room & Trade Surveillance

• Support staff personal trading reviews and restricted/watch list administration.
• Perform trade surveillance reviews and investigations relating to potential market misconduct.
• Review escalations from AML and business units involving trading activities and market conduct concerns.
• Handle regulatory enquiries and information requests relating to trading activities.
• Facilitate regulatory notifications, including SGX direct business (marriage deal) notifications.

Skills, Experience, and Qualifications:

• Proficient in English.
• Min. 3 years relevnt experience preferred.
• Bachelor's Degree.

Mandatory Skills

• Familiar with the Securities and Futures Act (SFA), SGX-ST Rules and SGX-DT Rules.
• Sound understanding of applicable laws, regulations and industry standards, and their practical impact on securities industry operations.
• Proficient in Microsoft Office applications.
• Strong analytical, critical thinking and problem-solving skills.
• Good product knowledge relevant to the securities and capital markets industry.
• Ability to manage competing priorities and work effectively in a fast-paced environment.
• Problem solver, resourceful, good communicator, enjoy doing repetitive tasks, independent and proactive.

Preferred Skills (Advantageous but Not Mandatory)

• Good interpersonal and communication skills.
• Strong team player with the ability to work independently and take initiative.
• Ability to build effective working relationships with stakeholders across different functions and levels.