Associate/Manager, Compliance
2 months ago
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 Se.....
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, ICE Clear Singapore, APEX and Abaxx.
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 the Associate/Manager - 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.
Job Responsibilities
- Provide compliance advisory support and guidance to back and front office regarding compliance with applicable laws, regulations and rules
- Conduct Compliance reviews and testing including trade surveillance, AML and BSC, and escalate any breaches of regulatory requirements or misconduct or company policies
- Develop compliance review programmes, self-assessment questionnaire and any other compliance programmes as may be required by Head of Department, front and back office, parent company, regulators and authorities
- Carry out any advisory, compliance tasks or projects as and when necessary as directed by the Head of Department
- Review and process registration of trading representatives
- Liaise with relevant regulators and Head Office on any major findings and other compliance reporting requirements
- 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
- Any other ad-hoc responsibilities assigned
Requirements
- Degree holder with minimum 5 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, Exchange Rules)
- 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 brokerage firms, financial institutions, public accounting firms are encouraged to apply
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