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[Expired] Senior Compliance Officer (securities/futures), Brokerage/Global Markets

RGF HR Agent Singapore Pte Ltd
Posted On :17 Sep 2013


Job Summary

  • Salary:   Undisclosed
  • Work Type: Permanent / Full Time
  • Min. Education Level: Diploma
  • Field of Study: Not Applicable
  • Years of Experience: 3
  • Skills: Accounting / Finance

Job Descriptions

Job Title:Senior Compliance Officer (securities/futures)
Job Number:JO-1308-77733
Industry:Financial Services/Brokerage/Global Markets
Job Category/Function:Financial Services/Banking & Finance - Risk Management

A trusted and well known company within the financial futures industry.

Conduct regular compliance monitoring and review to ensure staff’s compliance with the relevant laws, regulations, exchange rules and theCompany’s internal policies and procedures.

Perform reviews where necessary on the Company’s various internal systems and controls, including participation in the review of new systems and procedures before implementation, and make the necessary recommendations to enhance internal controls. and Liaise with the various business units and provide advice on various regulatory and compliance related matters

Liaise with MAS and SGX on matters relating to compliance with rules and regulations.

Liaise with the auditors (e.g. statutory auditors, MAS, SGX) on audit findings.

Maintain the Company’s regulatory compliance framework and updating and advising the management and staff on the latest rules and regulations impacting the business

Training of new and existing staff on Compliance and Regulatory matters

Review and update matters relating to AML/CFT

Handle and investigate into any customer complaints.

Other ad hoc duties or projects

Degree in Banking, Accountancy, Economics or Law

Candidates with at least 2 to 4 years compliance and external/internal audit experience from financial industry preferred

Prior experience in the futures trading industry would be advantageous

Strong team player, enthusiastic and fast learner

Positive working attitude

Excellent communication and interpersonal skills

Able to work under pressure

About This Company

RGF HR Agent Singapore Pte Ltd ( RGF HR Agent is founded by Recruit Inc. – leading recruitment company in Japan and the 4th largest recruiting and information services business with annual revenues of approximately USD 10 billion. We have multinational recruitment consultants operating in 19 offices in Japan, China, Hong Kong and Singapore, enabling us to provide Asia wide recruitment needs for clients.

EA License: 10C2978

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