Compliance Officer - Singapore - LONG BRIDGE SECURITIES PTE. LTD.

LONG BRIDGE SECURITIES PTE. LTD.
LONG BRIDGE SECURITIES PTE. LTD.
Verified Company
Singapore

1 week ago

Wei Jie

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Wei Jie

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Description

JOB DESCRIPTIONWe are one of the leading financial institutions with a strong fintech focus as well as an excellent growth path.

We are currently looking for a Compliance Officer to join our team.


Purpose of Role:
Work with the Head of Compliance & Risk to provide support and assist to determine potential risk areas, scope and drive compliance policies and procedures to safeguard the reputation of the company to ensure compliance with regulatory requirements for broker-dealers holding a capital markets license

Responsibilities and Duties:
1. Perform AML/KYC checks for all new business, products as appropriate. This will include conducting KYC due diligence checks for client onboarding process.2. Review and monitor compliance with the Anti-Money Laundering and Countering the Financing of Terrorism legislation, policies and procedures.3. Perform AML/CFT transaction monitoring as well as market surveillance and communications surveillance.4.

Assist in performing annual AML/CFT enterprise risk assessment process and controls documentation to ensure risk are identified and mitigated and policies updated as required.5.

Ensure licensing requirements of company and staff are in line with regulatory requirements.6.

Implement, review as well as rolling out relevant policies, procedures and processes to ensure compliance with SFA & FAA requirements.

Areas include BCM, outsourcing, product compliance as well as FATCA/CRS/QI requirements.7. Prepare training materials and conduct trainings as required to ensure staff awareness of company's policies and regulatory requirements.8. Assist in any ad-hoc compliance/risk related projects and system enhancements as assigned.


Skills and Proficiencies:
1.

Degree holder in any discipline with 2-5 years of relevant working experience in the financial industry preferably in banks/ broker-dealers.

ICA/ACAMS relevant certification particularly for AML/CFT and being fluent in both English and Chinese is beneficial.2. 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.3. High level of integrity takes accountability of work and good attitude over teamwork.4. Discipline in being goal oriented.5. Good communication skills are critical to success in this position.6. Takes initiative to improve current state of things and adaptable to embrace new changes.7.

Team player, with strong accountability over personal and team deliverables and able to demonstrate alignment with the organization's core values through expected behaviors.

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