Snr Associate, Compliance

CGS INTERNATIONAL SECURITIES SINGAPORE PTE. LTD.; Singapore; On-site; SGD 70,000 - 120,000; Full time

Job summary

CGS INTERNATIONAL SECURITIES SINGAPORE PTE. LTD. is seeking a Compliance professional to strengthen reviews, monitoring, and governance within the securities business. The role focuses on maintaining audit-ready evidence and supporting risk controls across departments.

You will coordinate RCSA, CET, and KRI monitoring, review control weaknesses, and assist with regulatory inquiries and market conduct concerns. The position requires vigilance in fast-paced environments.

Qualifications

• Proficient in English, with clear written and spoken communication.
• Minimum 3 years of relevant experience in compliance or risk within financial services.

Responsibilities

• Conduct periodic compliance reviews and document findings.
• Coordinate Compliance Risk & Control Self-Assessments (RCSA) and related testing.
• Review business unit compliance matrices and follow up on remediation actions.
• Support trade surveillance and handling of regulatory inquiries and notifications.

Skills

English proficiency

3+ years experience

Education

Bachelor's Degree

Tools

Microsoft Office

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.