Analyst, Compliance Officer, Compliance
CLSA · Singapore
Position Description
As a member of the Singapore Compliance team reporting to the Head of Legal and Compliance, Singapore, and with further support from head office, the incumbent will have the exciting opportunity to be given broad Compliance mandate which extends to a number of licensed entities in Singapore and multiple business lines, including, institutional cash equities sales and trading, research, Delta One & Equity Derivatives, fixed income sales and trading, ECM, DCM and asset management businesses.
In addition to the above, given the broad mandate of this role, it is expected that the incumbent will have the opportunity to develop well-rounded Compliance knowledge and be well-versed in a broad spectrum of Compliance skills, and not be restricted to specialized Compliance roles.
Key Areas of Responsibilities
The incumbent will have the following shared responsibilities with other members of the Singapore Compliance team:
Compliance Monitoring and Surveillance
Maintaining and executing the ongoing Compliance Monitoring Programme, which includes, amongst others:
Trade surveillance by analysing trade data and via the use of SMARTS Broker trade surveillance tool;
Monitoring of staff dealing activity and compliance with staff dealing policy;
Monitoring of staff outside directorships, business interests and activities;
Monitoring of gift and entertainment of staff;
Monitoring of fly-in-fly-out activities of licensed staff;
Conducting Compliance desk reviews/thematic reviews, as may be required, based on emerging risks or new regulatory requirements;
Central Compliance
Managing the MAS licensing and SGX registration process for new front office staff;
Monitoring and following up with existing MAS appointed representatives and SGX trading representatives on their continuing obligations, amongst others, changes in personal particulars and business interests, Continuing Education Program and register of securities;
Liaising with relevant internal stakeholders to complete surveys/forms/questionnaires requested by MAS/SGX;
Handling simple requests and queries from regulators/auditors;
Ensuring that all Compliance correspondences/records and registers are duly tracked and maintained;
Conducting Compliance induction training for all new staff and other basic training as may be required by the Head of Compliance, Singapore;
Facilitating staff completion of mandatory Compliance trainings and declarations;
Assisting with Compliance reporting to local and group management;
Compliance Advisory (depending on bandwidth)
Responding to simple internal queries, for example, those relating to licensing requirements or group Compliance policies/procedures such as staff dealing, outside business interests, and gift and entertainment, etc;
Assisting the Head of Compliance, Singapore, to track and manage regulatory changes/new regulatory requirements;
Be part of a project team to manage new regulatory changes or new business activities, as may be required by the Head of Compliance, Singapore;
Assisting the Head of Compliance, Singapore, to handle all internal/external audits and MAS/SGX inspections;
Assisting the Head of Compliance, Singapore, to draft local Compliance policies and procedures, as may be required; and
Assisting with all other ad-hoc tasks as required by the Head of Compliance, Singapore.
Requirements
At least 3 years of Compliance/audit/regulatory experience in the financial services sector
Compliance monitoring/testing experience will be an advantage
Excellent analytical skills and quick logical thinking ability
Strong interpersonal skills
Good writing and presentation skills
Attention to detail
Ability to operate independently and to multi-task
Proficiency in Microsoft Office Applications for both data collection and interpretation of the results that can presented clearly and concisely
Understanding of Compliance role and risk-based Compliance approach, and ability to identify and remediate key Compliance risks
Basic understanding and application of the Securities and Futures Act and SGX-ST rules
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