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Senior Officer, Compliance 179093

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$3000 to $4000 (Monthly)

Posted a year ago

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.

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LIM & TAN SECURITIES PTE LTD
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LIM & TAN SECURITIES PTE LTD