- 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 registration of trading representatives
- Carry out any compliance tasks as and when necessary as directed by the Head of Department
- Carry out awareness briefing and staff training on regulatory requirements, company policies and procedures
- Degree holder with minimum 1-2 years of relevant experience
- Familiarity with the relevant laws, regulations and exchange rules in the securities and/or futures market (SFA, FAA, SGX-ST Rules, Futures Trading Rules, AML) 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
- Relevant experience in 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
Regulatory Compliance Analyst - Singapore - Kgi Securities (singapore) Pte. Ltd.
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Description
About The Company
KGI Securities is a leading multi asset brokerage firm with presence across several countries in Asia and a pioneer member of the Securities & Derivatives, Trading and Clearing Member of Singapore Exchange, ICE Futures Singapore and ICE Clear Singapore.
We hold a Capital Markets Services License, is regulated by the Monetary Authority of Singapore (MAS) and is also an equal opportunity employer.
About The Job
The duties of Analyst/Associate - Compliance officer will include providing regulations guidance and training, consultation of securities and futures trading laws, as well as timely update of relevant laws and regulations. It is also responsible for supervising the periodic self-assessment of legal compliance among all units.
The duties of the staff will be mainly to assist the Compliance team in performing the compliance reviews and trade surveillance reviews in accordance with the work plan.
Job Responsibilities
Requirements: