Compliance Officer

  • Bonus
  • Singapore
  • Permanent, Full time
  • Michael Page , EA Licence No: 98C5473
  • 12 Oct 17 2017-10-12

The role is a group compliance function encompassing different regions.

Well reputed global financial services firm, with an open culture and flat structure with exposure to all key stakeholders.


Reporting to the Head of Department, key responsibilities will include:

  • Perform daily and periodic monitoring of compliance
  • Manage the Compliance module of the Internal Trading System (proprietary); work closely with internal stakeholders and IT vendor on changes to the trading system where required and perform UAT
  • Coordinate, prepare and submit the regulatory filings, reports and notifications
  • Conduct compliance monitoring and testing against regulatory requirements, company policies and procedures etc.
  • Liaise with service providers on on-boarding - KYC documentation review and completion of compliance checklist
  • Conduct AML/KYC ongoing monitoring and risk-assessment review; sanctions and adverse news screening
  • Perform PEP/EDD checks and profiling
  • Update of policies and procedural manuals, policy documents
  • Preparation of compliance reports for quarterly/semi-annual board meeting
  • Preparation of compliance reports for the Company's and Compliance & Risk meetings
  • Operational risk monitoring in accordance with the company's Risk Management Framework
  • Undertake compliance review and screening
  • Assist in due diligence review of outsourced service providers
  • Assist in ongoing projects in line with regulatory changes eg. MAS Outsourcing, MiFID II


The successful candidate will have:

  • 2-4 years experience in compliance-related experience
  • Should be proactive and a self-starter
  • Passionate and keen to learn

Job Offer

The candidate will have a competitive pay package with bonus, engagement with all levels of stakeholders and a region-wide role.

To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Shruti Sukhani on +65 6416 9946.