Position overview
This role offers a unique opportunity to develop comprehensive Compliance expertise across a broad range of responsibilities. The incumbent will gain exposure to diverse aspects of Compliance, moving beyond a specialized focus to build a well-rounded skill set.
Key Areas of Responsibilities
Compliance Monitoring and Surveillance
- Execute and maintain the Compliance Monitoring Programme, including:
- Trade surveillance through trade data analysis and using the SMARTS Broker tool.
- Monitoring staff activities such as personal dealing, external directorships, business interests, gifts, and entertainment compliance.
- Oversight of fly-in-fly-out activities for licensed staff.
- Conduct desk/thematic reviews in response to emerging risks or new regulatory requirements.
Central Compliance
- Manage MAS licensing and SGX registration processes for new front-office staff.
- Monitor ongoing obligations for MAS-appointed representatives and SGX trading representatives (e.g., personal particulars updates, Continuing Education Programs, securities registers).
- Coordinate with internal teams to complete MAS/SGX surveys and regulatory requests.
- Handle basic queries from regulators and auditors.
- Maintain Compliance correspondences, records, and registers.
- Deliver Compliance induction and mandatory training sessions for staff.
- Assist with Compliance reporting to local and group management
Compliance Advisory
- Respond to basic internal queries related to licensing requirements and group Compliance policies.
- Track and manage regulatory changes and new requirements.
- Participate in projects addressing regulatory changes or new business activities.
- Support the Head of Compliance in audits, inspections, and drafting local Compliance policies and procedures.
Requirements
- 5 years of experience in Compliance, audit, or regulatory roles within the financial services sector.
- Experience in Compliance monitoring/testing is advantageous.
- Basic knowledge of the Securities and Futures Act and SGX-ST rules.
If you're interested in the above role, click on the apply function now! Alternatively, you can contact Hao Yi at [Confidential Information] for a confidential discussion. Only shortlisted candidates will be notified.
Morgan McKinley Pte Ltd | EA Licence No: 11C5502 | EA Registration No. R21100351
