Senior Compliance Officer

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. · 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.

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