Senior Compliance Officer

Job Reference: Compliance
Employer/Agency: LMA Recruitment
Location: Singapore
Experience: 6 to 9 years
Salary/Package: On application
Job Sector: Banking ( Role / Products ); Banking ( Segment )
Functional Role: Banking Operations; Money & Capital Market; Risk Management; Transactional Banking; Wealth Management
Date Posted:
Closing Date:

• To act as the sole Compliance Officer and assume the day-to-day Compliance control function for the CFS business and ensure its adherence to the regulations, rules and laws in Singapore
• To act as the AML/CFT Officer to identify, monitor and report suspicious transactions in relation to money laundering and terrorist financing
• To ensure that CFS operates in compliance with relevant legislations/regulations, by giving advice on compliance implications of business decisions, both for on-going issues and in project decisions
• To establish, review and update the relevant compliance policies as required by the MAS for a Capital Markets Services licensee
• To act as the main interface for the liaison with the regulators for any regulatory notification, licensing, reporting, inspection and investigation
• To have responsibility for all aspects of CFS’s Compliance and Financial Crime risk management framework for the Singapore business
• To help develop a compliance risk assessment process covering the main activities relevant to managing compliance risk by developing and implementing a robust compliance monitoring/desk review programme

• Should be purely into Regulatory Compliance (no AML/FCC)
• In-depth knowledge of the MAS rules and other relevant regulations and legislation
• 5 years or more of previous experience in legal or compliance within a financial services organisation
• Able to build strong working relationships with senior members of staff throughout the region
• Sound working knowledge of a wide range of financial products and services including equity brokerage, fixed income trading and secondary loan trading
• Ability to manage a suite of regulatory policies and procedures
• Strong academic background, university degree and relevant professional qualifications
• Experience of undertaking AML/CFT monitoring and advisory activities
• Able to articulate complex matters in a clear and concise way
• Knowledge and experience in dealing with regulatory bodies
• Strong organisational and project management skills
• Knowledge of trading systems advantageous (e.g. Fidessa, Bloomberg, Reuters)
• Excellent PC skills including Word, Excel and PowerPoint

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