Perform compliance reviews for adherence to regulations & internal policies and follow up to ensure proper closure of identified compliance gaps.
Perform trade surveillance on Equities product.
Perform reviews on Information Security.
Conduct Compliance induction training to new joiners.
Conduct Compliance refresher training to staff on compliance related topics eg Company’s General Compliance Manual & Information Security.
Provide compliance advisory to front and back office.
Review amendments to departmental policies and procedures.
Liaise with internal and external auditors on audit reviews and queries, where necessary.
Perform special review/tasks as assigned
Min Degree or above
At least 3 – 6 years of experience in Audit / financial institutions handling compliance
Possess good knowledge of Banking Act, Banking Regulations, MAS Notices, AML and SFA
Able to perform trade surveillance using SMARTS would be an added advantage.
Interested candidates who wish to apply for the advertised position, please click on “Apply Now”. Alternatively, you may email me an updated copy of your resume to . We regret that only shortlisted candidates will be notified.