Snr Associate, Compliance

CGS INTERNATIONAL SECURITIES SINGAPORE PTE. LTD.; Singapore; On-site; SGD 80,000 - 120,000; Full time

Job summary

CGS INTERNATIONAL SECURITIES SINGAPORE PTE. LTD. is seeking a Compliance professional to conduct periodic compliance reviews and monitor control effectiveness within a fast-paced securities environment in Singapore.

You will document findings, track remediation actions, and maintain audit-ready evidence while coordinating RCSA, CET, and KRI monitoring. You will oversee user access reviews, BCP testing, and business unit compliance oversight, assess exceptions, and follow up on remediation

Qualifications

• 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.

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

Securities industry knowledge

Regulatory compliance

Analytical thinking

MS Office

Problem solving

Communication skills

Prioritization

Education

Bachelor's degree

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.