Analyst Compliance
JOBSHINE PTE. LTD.
Job Responsibilities
Requirements
- Conduct Compliance reviews and testing including trade surveillance, AML and BSC, and escalate 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.
Requirements
- Degree holder with 1-2 years of relevant experience. Fresh graduates may be considered.
- Familiarity with the relevant laws, regulations and exchange rules in the securities and/or futures market (SFA, FAA, SGX-ST Rules, Futures Trading Rules) is a plus.
- Meticulous, positive attitude and pro-active.
- Strong communication, interpersonal, analytical and organizational skills.
- Team player yet able to work independently and interact with people at all levels.
- Candidates with relevant experience / internships 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 industry knowledge looking to pivot into Compliance may be considered.
JOB SUMMARY
Analyst Compliance
JOBSHINE PTE. LTD.
Singapore
12 days ago
N/A
Full-time
Analyst Compliance