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Analyst, Compliance
Job summary
A financial services firm based in Singapore is seeking an Analyst – Compliance officer to assist the Compliance team with reviews and regulatory guidance. The role involves developing compliance programmes, conducting reviews, and training staff on compliance matters. The ideal candidate will be a degree holder with 3-5 years of experience, familiar with securities regulations, and possesses strong communication and analytical skills.
Qualifications
- 3-5 years of relevant experience in compliance or auditing.
- Familiarity with relevant laws and regulations in the securities market.
- Experience in compliance advisory is preferred.
Responsibilities
- Provide compliance advisory support to back and front office.
- Develop compliance review programmes and self-assessment questionnaires.
- Conduct Compliance reviews, including trade surveillance and AML.
- Process licensing-related matters for trading representatives.
- Monitor regulatory updates and implement requirements.
- Conduct staff training on compliance and company policies.
Skills
Education
The duties of the Analyst – Compliance officer will be mainly to assist the Compliance team in performing the compliance reviews and trade surveillance reviews in accordance with the work plan. Other duties may include providing regulatory guidance to internal stakeholders in accordance with relevant regulations.
- Provide compliance advisory support and guidance to back and front office regarding compliance with applicable laws, regulations and rules.
- Develop compliance review programmes, self‑assessment questionnaire and any other compliance programmes as may be required by Head of Department, front and back office, parent company, regulators and authorities.
- Conduct Compliance reviews and testing including trade surveillance, AML and BSC, and escalating any breaches of regulatory requirements or misconduct or company policies.
- Review and process licensing‑related matters of trading representatives (e.g. application for license).
- Carry out any compliance tasks or projects as and when necessary as directed by the Head of Department.
- Review and update policies and procedures.
- Monitor for regulatory updates and ensure effective implementation of the revised regulatory requirements.
- Carry out awareness briefing and staff training on regulatory requirements, company policies and procedures.
- Degree holder with 3-5 years of relevant experience.
- Familiarity with the relevant laws, regulations and exchange rules in the securities and/or futures market (e.g. SFA, FAA, SGX‑ST Rules, Futures Trading Rules) is a plus.
- Meticulous, positive attitude and pro‑active.
- Strong communication, interpersonal, analytical and organisational skills.
- Team player yet able to work independently and interact with people at all levels.
- Candidates with relevant compliance or auditing experience with exchanges (e.g. in market surveillance or supervision departments), public accounting firms, securities and futures brokerage firms and other financial institutions are encouraged to apply.
- Candidates with experience providing advisory on rules and regulations are preferred.
- Candidates with industry knowledge looking to pivot into Compliance may be considered.
* The salary benchmark is based on the target salaries of market leaders in their relevant sectors. It is intended to serve as a guide to help Premium Members assess open positions and to help in salary negotiations. The salary benchmark is not provided directly by the company, which could be significantly higher or lower.