Compliance Manager (Securities/Brokerage)

at  Trust Recruit Pte Ltd

JOB REQUIREMENTS:

• Degree holder in any discipline with min 5 years of relevant working experience in banking/ broking. ICA/CAMS or relevant certification and being fluent in both English and Chinese is beneficial
• Possession of a broad knowledge of business, products and operations of the financial services industry. Familiarity with risk and compliance processes, awareness of SGX-ST Rules/ SGX-DT Rules/ Payment Services Act is an added advantage.
• Good communication skills are critical to success in this position.
• Exhibits behaviors that align with the organization’s core values.
• High level of integrity takes accountability of work and good attitude over teamwork.
• Takes initiative to improve current state of things and adaptable to embrace new changes.

• Execute, review and roll out relevant policies, procedures and processes to ensure compliance with SFA & FAA requirements. This encompasses aspects like FATCA/CRS/QI requirements, Business Continuity Planning (BCP), outsourcing, and more.
• Ensure that the licensing requirements of the company and staff are aligned with regulatory standards, both for new employees and for potential new business ventures or products.
• Review and supervise adherence to AML/CFT legislation, policies, and procedures and conduct AML/CFT reviews and transaction monitoring
• Assist in conducting the annual AML/CFT enterprise risk assessment process and documenting controls to ensure risks are identified, mitigated, and policies are updated accordingly.
• Conduct monitoring of market transactions and communications for surveillance purposes.
• Prepare training materials and deliver training sessions as needed to ensure staff understanding of company policies and regulatory obligations.
• Support in ad-hoc compliance/risk-related projects and system enhancements as delegated.