Snr Associate, Compliance

Key Responsibilities:

Compliance Reviews & Monitoring

• Conduct periodic compliance reviews.
• Document findings, track remediation actions, and maintain supporting evidence.

Operational Risk, Controls & Governance

• Act as Departmental Compliance Operational Risk Officer (DCORO).
• Coordinate Compliance Risk & Control Self-Assessments (RCSA), Compliance Effectiveness Testing (CET), and Key Risk Indicator (KRI) monitoring.
• Maintain audit-ready evidence and supporting documentation for all control testing activities.
• Oversee User access and shared drive reviews and Business Continuity Planning (BCP) and testing.
  

Business Unit Compliance Oversight

• Review Compliance Matrices and self-testing results submitted by Business Units.
• Assess exceptions, identify control weaknesses, and follow up on remediation actions.

Control Room & Trade Surveillance

• Support staff personal trading reviews and restricted/watch list administration.
• Perform trade surveillance reviews and investigations relating to potential market misconduct.
• Review escalations from AML and business units involving trading activities and market conduct concerns.
• Handle regulatory enquiries and information requests relating to trading activities.
• Facilitate regulatory notifications, including SGX direct business (marriage deal) notifications.

Skills, Experience, and Qualifications:

• Proficient in English.
• Min. 3 years relevnt experience preferred.
• Bachelor's Degree.

Mandatory Skills

• Familiar with the Securities and Futures Act (SFA), SGX-ST Rules and SGX-DT Rules.
• Sound understanding of applicable laws, regulations and industry standards, and their practical impact on securities industry operations.
• Proficient in Microsoft Office applications.
• Strong analytical, critical thinking and problem-solving skills.
• Good product knowledge relevant to the securities and capital markets industry.
• Ability to manage competing priorities and work effectively in a fast-paced environment.
• Problem solver, resourceful, good communicator, enjoy doing repetitive tasks, independent and proactive.

Preferred Skills (Advantageous but Not Mandatory)

• Good interpersonal and communication skills.
• Strong team player with the ability to work independently and take initiative.
• Ability to build effective working relationships with stakeholders across different functions and levels.