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LIM & TAN SECURITIES PTE LTD

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Careers at LIM & TAN SECURITIES PTE LTD

LIM & TAN SECURITIES PTE LTD

LIM & TAN SECURITIES PTE LTD

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Jobs at LIM & TAN SECURITIES PTE LTD

Junior Software Developer
LIM & TAN SECURITIES PTE LTD

$2000 to $3000 (Monthly)

We are looking for an enthusiastic junior software developer to join our experienced software design team. You will report directly to the senior developer and assist with all functions of software coding and design. Your primary focus will be to learn the code base, gather user data, and respond to requests from senior developers.


To ensure success as a junior software developer, you should have a good working knowledge of basic programming languages, the ability to learn new technology quickly, and the ability to work in a team environment. A top-class Junior Software Developer provides valuable support to the design team while continually improving their coding and design skills.




Responsibilities:


· Assisting the senior developer with all aspects of software design and coding.


· Attending and contributing to user development meetings.


· Learning the codebase and improving your coding skills.


· Writing and maintaining code and reports.


· Working on minor bug fixes.


· Responding to requests from the internal department user.


· Gathering information from department users about program functionality.


· Conducting development tests.


· Monitoring the technical performance of internal systems.




Requirements:


· Bachelor’s degree or diploma in computer science.


· Knowledge of basic coding languages including JavaScript, Visual Basic, Dot-Net, or SQL


· Basic programming experience.


· Knowledge of databases and operating systems.


· Good working knowledge of email systems and Microsoft Office software.


· Ability to learn new software and technologies quickly.


· Ability to follow instructions and work in a team environment.

a year ago
Manager, Internal Audit
LIM & TAN SECURITIES PTE LTD

$4000 to $6000 (Monthly)

Responsibilities and Duties:



  • To oversee and manage the Audit Department. Effectively carry out the objective of the audit function, to assure consistent high standards of performance and to meet Company’s objectives at optimum cost.

  • To verify the soundness, adequacy and application of accounting, financial and other operating controls and procedures prescribed by the Company.

  • To ascertain the extent of compliance with accounting, financial and other operating controls prescribed by SGX-ST and MAS.

  • To review, update the audit plan annually on a risk based approach and allocate resources to complete the audit works as planned.

  • To report in writing, in accordance to the approved Audit Plan, to the Board of Directors and/or Management on company’s overall adherence to the regulatory requirements and our company’s internal compliance, controls, policies and procedures, including significant findings/exceptions, if any.

  • To conduct ad-hoc audit investigations at the instruction of Management/or Board of Directors.

  • To ascertain the extent to which the physical assets of the Company are safeguarded against fraud.

  • To maintain a co-operative relationship with all departments in order to secure a full understanding, acceptance and utilization of the Internal Audit function.

  • To liaise and assist the external auditors, the Authorities e.g. MAS/SGX-ST etc in obtaining all necessary information in order to carry out their work speedily and efficiently.

  • Overall supervision and training of the Internal Audit Officers during the course of their daily function.


Requirements:



  • Bachelor’s degree in Accounting, Accountancy, or Finance

  • Strong knowledge of auditing standards, procedures, and policies

  • Strong ability to lead, supervise and train the audit team members

  • Effective communication skills in both oral and written forms

  • Ability to foster a friendly work environment for team members

  • Strong organizational skills, time management relates to the prioritizing of workloads

  • Strong analytical skills

a year ago
Senior Officer, Compliance
LIM & TAN SECURITIES PTE LTD

$3000 to $4000 (Monthly)

Responsibilities and Duties:


Assists the Manager (Compliance) in the following areas:



  1. Executes the compliance activities in accordance with the approved annual Compliance Plan.

  2. Identifies, monitors and highlights key regulatory requirements and/or changes if any and assists in the management of these requirements and compliance risks.

  3. Provides assistance, guidance and/or training to Management, business units, non-business units and staff on compliance and regulatory requirements.

  4. Updates the Board of Directors, Management and/or Head of Departments on the changes to the applicable laws and regulations.

  5. Assist to report in accordance with the approved Compliance Plan, to the Board of Directors and/or Management on company’s overall compliance with the regulatory requirements and our company’s internal compliance policies and procedures, including significant breaches, if any.

  6. Notifies the Authorities in writing of any material breaches and/or misconduct committed by Trading Representatives, employees etc in accordance with regulatory requirements and/or by the Board of Directors.

  7. Conducts ad-hoc investigations at the instruction of Compliance Manager

  8. Prepares written Compliance reports or memos and assist to review on the effectiveness of the overall compliance with the regulatory requirements by each department or Trading Representatives where applicable.

  9. Act as liaison with external parties such as the Authorities, CAD, Police, external auditors etc.

  10. Assist to review and update new regulatory changes and guidelines and ensure company’s own policies and procedures are in line with the new changes.

  11. Any other assignment assigned by the Compliance Manager.


In relation to AML/CFT:



  1. Provides updates, subject to review by Compliance Manager, to the Board of Directors, Management and/or Head of Departments on a timely basis, on any pertinent information on the current and latest applicable AML/CFT rules and regulations.

  2. Monitors and reviews clients who are Politically Exposed Persons [“PEPs”] and/or potentially higher risk categories.

  3. Reviews and reports any suspicious activity internally to Compliance Manager and ensures prompt and appropriate action undertaken on any matter in which ML/TF is suspected.

  4. Provides assistance, guidance and/or training to its employees, officers and appointed representatives.

  5. Conducts ad-hoc investigations at the instruction of Compliance Manager.

  6. Review of AML/CFT policy and procedure on an annual basis to be line with latest regulatory updates.

  7. Act as liaison with external parties in relations to AML/CFT issues.

  8. Monitors and reviews Suspicious Transaction Reports (STR) submitted by STR Officer, on a monthly basis, to ensure there are appropriate follow up actions plans.

a year ago
Senior Officer, Internal Audit
LIM & TAN SECURITIES PTE LTD

$3000 to $4000 (Monthly)

Responsibilities and Duties:


To assist the team in the following areas:



  1. To conduct reviews and to execute audit based on the approved audit plan.

  2. To verify the soundness, adequacy and application of accounting, financial and other operating controls and procedures across various departments via the audit performed.

  3. To obtain, analyze and appraise evidentiary data as a basis for an informed, objective opinion on the adequacy and effectiveness of the system and the efficiency of performance of the activities being reviewed.

  4. To ascertain the extent of compliance with accounting, financial and other operating controls prescribed by SGX-ST and MAS.

  5. To ascertain the extent to which the physical assets of the Company are safeguarded against fraud and waste.

  6. To perform special / ad-hoc investigations at the instruction of Manager – Internal Audit/Management/or Board of Directors.

  7. To maintain a co-operative relationship with all departments in order to secure a full understanding, acceptance and utilization of the Internal Audit function.

  8. To assist the external auditors, the Authorities e.g. MAS/SGX etc in obtaining all necessary information in order to carry out their work speedily and efficiently.

  9. Prepares formal written IA reports, expressing opinions on the adequacy and effectiveness of the internal controls, systems and efficiency.

  10. Provide guidance and on-the-job training for the junior Internal Audit Staff during the course of their daily functions.


Requirements:



  1. Degree in Business / Accountancy, ACCA or related courses

  2. Strong analytical, communication and written skills

  3. Able to work independently and meet deadlines with minimal supervision

  4. A team-player with strong interpersonal skills

a year ago
Manager, Compliance
LIM & TAN SECURITIES PTE LTD

$4500 to $6000 (Monthly)

We are looking for an experienced Compliance Manager to be responsible for ensuring adherence to regulatory and compliance requirements of the relevant governing Authorities.




Job Duties



  • Establishes the Compliance department’s guidelines/policies and directs its technical and operational functions.

  • Develops and executes a comprehensive Compliance program to evaluate the potential risk areas and management controls over all Company’s principal/secondary activities.

  • Assess and review new regulatory changes and guidelines/policies and the impact it has on the Company’s internal policies and guidelines.

  • Liaises with external parties such as the Authorities, external auditors etc during their course of inspection and in the collation, provision, submission of relevant information in the form of query/ies/questionnaire/surveys etc.

  • Provide advice, guidance and on-going training to staff on the appropriate implementation of compliance framework which include policies and procedures such as those contained in the Compliance Manual, internal codes of conduct and practice guidelines.

  • Act as Subject Matter Expert on AML/CFT issues.


Required skills and experience



  • Degree in Business, Accounting, Finance or relevant disciplines

  • 5-6 years relevant experience in the banking and financial industry (audit, compliance testing or advisory background)

  • Possess good understanding of the securities laws and regulations (e.g. Securities and Futures Act & Financial Advisers Act)

  • Knowledge of financial products, markets and sales practices

  • Able to manage a team and also works independently with minimum supervision

2 years ago