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.
