346 Compliance Monitoring jobs in Singapore

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Compliance Monitoring Specialist

Everyone at OANDA is focused on our vision to transform how our customers can meet all their currency needs. We are revolutionising the world of currency trading by providing innovative trading experiences, currency data and analytics solutions. Dare to be open, bold, focused - own it and apply! The future is now!

Join us and:

• Boost your career in a global and multicultural company.

• Be dedicated to supporting the APAC region and perform compliance testing for these entities.

• Support regulated entities that provide trading in CFDs.

• Improve yourself and your team through education and continuous learning.

How do we work?

Joining our APAC Compliance Team means you'll be part of a global Compliance Team and will also collaborate closely with our AML Teams. Based in Singapore, you will report to the Singapore Compliance Head, and where necessary to the OANDA Global Head of Compliance. As part of the OANDA Compliance Monitoring Program you will perform compliance testing of company's functions, which includes developing test steps and methodologies, evaluating the effectiveness of existing controls and designing and implementing new controls in consultation with respective teams. You will identify regulatory risks, propose recommendations, prepare reports and present such findings to senior management and the Boards.

We work in a flexible hybrid working model - we'd love to meet you in the office twice a week respect to your own commitments.

In this role, you will:

• Manage and maintain OANDA APAC (Australia, Singapore) compliance obligations register, linking regulations to corresponding policies and procedures (P&Ps).

• Create and execute plans to test specific controls, identifying and investigating non-adherence to P&Ps.

• Coordinate with departments to resolve compliance gaps and track remediation processes through to completion.

• Report test findings to the Head of Compliance for management and Board oversight and quality assurance.

• Document test results systematically to pinpoint common areas requiring additional staff training.

What skillset do you need to be successful in this role?

• Min. 2 years of Audit/Compliance Testing experience.

• Fluent English.

• Familiarity with MS Excel.

• Availability for potential business travel in the future.

• Highly driven, organised and possess ability to engage and influence stakeholders.

• Detail-oriented, motivated and able to manage timelines independently.

Nice to have:

• Good knowledge of relevant MAS regulations, guidelines and notices.

• Previous experience in a Financial sector.

OANDA Global Corporation is a diverse and global team with offices around the world. We value the unique skills and experiences each individual brings to OANDA. We are committed to creating and sustaining a collegial work environment in which all individuals are treated with dignity and respect and one which reflects the diversity of the community in which we operate. We provide an inclusive and accessible environment for everyone. Candidates selected for an interview will be contacted directly. If you require accommodation during the recruitment and selection process, please let us know. We will work with you to provide as seamless a recruitment experience as possible.

Learn more about our culture here .

Review OANDA Privacy Policy and learn more about how we treat your personal data and protect your privacy.

Dare to be bold?

Make your first step toward a positive change in your career with OANDA

Vision and values

OANDA aims to transform all aspects of how the world interacts with currencies, whether that be trading or utilizing currency data and information. We’ll do this our way – connecting and collaborating with the best and most innovative to grow quickly and globally. We strive to do more than just our jobs, focus our actions on collective goals and dare to seek out innovation and creativity. All this to continue our obsession with providing the best experience for our customers.

What we do?

Innovation has been at the heart of everything we do!
From our roots in 1997 providing free currency exchange information over the internet to launching an award-winning global trading business. We work together to drive the future of currency data solutions and trading technology. Our customers can invest in around 200 financial instruments including currencies, shares (over 1300) and commodities leveraging intelligent support and the newest technologies. What is more, we are now offering a batch of popular cryptocurrencies in the US! - OANDA is now a major global player.

We are the winners!

We are proud to be recognized! In 2023 we received the 'Brokerage House of the Year 2022' award at the Invest Cuffs gala! We won the ‘Most Popular Broker’ award at the 2022 TradingView Broker Awards and were recognised as ‘Best in Class for Ease of Use’ and ‘Best in Class for Research’ by ForexBrokers.com at their 2023 Annual Awards!

Compliance Monitoring Specialist page is loaded
Compliance Monitoring Specialist Apply locations Singapore time type Full time posted on Posted 30+ Days Ago job requisition id JR000631 Everyone at OANDA is focused on our vision to transform how our customers can meet all their currency needs. We are revolutionising the world of currency trading by providing innovative trading experiences, currency data and analytics solutions. Dare to be open, bold, focused - own it and apply! The future is now!
Join us and:
Boost your career in a global and multicultural company.
Be dedicated to supporting the APAC region and perform compliance testing for these entities.
Support regulated entities that provide trading in CFDs.
Improve yourself and your team through education and continuous learning.
How do we work?
Joining our APAC Compliance Team means you'll be part of a global Compliance Team and will also collaborate closely with our AML Teams. Based in Singapore, you will report to the Singapore Compliance Head, and where necessary to the OANDA Global Head of Compliance. As part of the OANDA Compliance Monitoring Program you will perform compliance testing of company's functions, which includes developing test steps and methodologies, evaluating the effectiveness of existing controls and designing and implementing new controls in consultation with respective teams. You will identify regulatory risks, propose recommendations, prepare reports and present such findings to senior management and the Boards.
We work in a flexible hybrid working model - we'd love to meet you in the office twice a week respect to your own commitments.
In this role, you will:
Manage and maintain OANDA APAC (Australia, Singapore) compliance obligations register, linking regulations to corresponding policies and procedures (P&Ps).
Create and execute plans to test specific controls, identifying and investigating non-adherence to P&Ps.
Coordinate with departments to resolve compliance gaps and track remediation processes through to completion.
Report test findings to the Head of Compliance for management and Board oversight and quality assurance.
Document test results systematically to pinpoint common areas requiring additional staff training.
What skillset do you need to be successful in this role?
Min. 2 years of Audit/Compliance Testing experience.
Fluent English.
Familiarity with MS Excel.
Availability for potential business travel in the future.
Highly driven, organised and possess ability to engage and influence stakeholders.
Detail-oriented, motivated and able to manage timelines independently.
Nice to have:
Good knowledge of relevant MAS regulations, guidelines and notices.
Previous experience in a Financial sector.
OANDA Global Corporation is a diverse and global team with offices around the world. We value the unique skills and experiences each individual brings to OANDA. We are committed to creating and sustaining a collegial work environment in which all individuals are treated with dignity and respect and one which reflects the diversity of the community in which we operate. We provide an inclusive and accessible environment for everyone. Candidates selected for an interview will be contacted directly. If you require accommodation during the recruitment and selection process, please let us know. We will work with you to provide as seamless a recruitment experience as possible.
Learn more about our culture here .
Review OANDA Privacy Policy and learn more about how we treat your personal data and protect your privacy.
Dare to be bold?
Make your first step toward a positive change in your career with OANDA
Vision and values
OANDA
aims to transform all aspects of how the world interacts with currencies, whether that be trading or utilizing currency data and information. We’ll do this our way – connecting and collaborating with the best and most innovative to grow quickly and globally. We strive to do more than just our jobs, focus our actions on collective goals and dare to seek out innovation and creativity. All this to continue our obsession with providing the best experience for our customers.
What we do?
Innovation has been at the heart of everything we do!
From our roots in 1997 providing free currency exchange information over the internet to launching an award-winning global trading business. We work together to drive the future of currency data solutions and trading technology. Our customers can invest in around 200 financial instruments including currencies, shares (over 1300) and commodities leveraging intelligent support and the newest technologies. What is more, we are now offering a batch of popular cryptocurrencies in the US! - OANDA is now a major global player.
We are the winners!
We are proud to be recognized! In 2023 we received the 'Brokerage House of the Year 2022' award at the Invest Cuffs gala! We won the ‘Most Popular Broker’ award at the 2022 TradingView Broker Awards and were recognised as ‘Best in Class for Ease of Use’ and ‘Best in Class for Research’ by ForexBrokers.com at their 2023 Annual Awards!
#J-18808-Ljbffr

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• Lead recurring and thematic compliance reviews, risk and control assessments and responding to ad-hoc regulator requests
• Cross-border, adherence to country manual requirements (RM travel, account opening, client communication)
• Pre-trade investment suitability (i.e. order taking, solicitation marking, product risk disclosure, K&E mismatches)
• Pricing controls (identify overcharging on transactions vs bank’s standard price list/ bilateral agreement with client)
• Perform Quality assurance on: Non-Vulnerable Client assessment on Client investment profile, Performance Review, etc
• Perform reviews on KYC (Eg; onboarding, periodic reviews- IDV, ownership structure, SOW/SOI, AI)

• Lead recurring and thematic compliance reviews, risk and control assessments and responding to ad-hoc regulator requests
• Cross-border, adherence to country manual requirements (RM travel, account opening, client communication)
• Pre-trade investment suitability (i.e. order taking, solicitation marking, product risk disclosure, K&E mismatches)
• Pricing controls (identify overcharging on transactions vs bank’s standard price list/ bilateral agreement with client)
• Perform Quality assurance on: Non-Vulnerable Client assessment on Client investment profile, Performance Review, etc
• Perform reviews on KYC (Eg; onboarding, periodic reviews- IDV, ownership structure, SOW/SOI, AI)
• Handle internal /external audit queries
  
  
  

• Around 10 years of compliance testing or assurance experience from the private banking/wealth management industry.
• Familiar with recent regulatory changes/developments pertaining to the private banking industry.
  
  
  

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Finance and Sales
• Industries Staffing and Recruiting

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Join to apply for the Compliance monitoring and testing role at JAC Recruitment

4 days ago Be among the first 25 applicants

Join to apply for the Compliance monitoring and testing role at JAC Recruitment

Get AI-powered advice on this job and more exclusive features.

• Lead recurring and thematic compliance reviews, risk and control assessments and responding to ad-hoc regulator requests
• Cross-border, adherence to country manual requirements (RM travel, account opening, client communication)
• Pre-trade investment suitability (i.e. order taking, solicitation marking, product risk disclosure, K&E mismatches)
• Pricing controls (identify overcharging on transactions vs bank’s standard price list/ bilateral agreement with client)
• Perform Quality assurance on: Non-Vulnerable Client assessment on Client investment profile, Performance Review, etc
• Perform reviews on KYC (Eg; onboarding, periodic reviews- IDV, ownership structure, SOW/SOI, AI)

• Lead recurring and thematic compliance reviews, risk and control assessments and responding to ad-hoc regulator requests
• Cross-border, adherence to country manual requirements (RM travel, account opening, client communication)
• Pre-trade investment suitability (i.e. order taking, solicitation marking, product risk disclosure, K&E mismatches)
• Pricing controls (identify overcharging on transactions vs bank’s standard price list/ bilateral agreement with client)
• Perform Quality assurance on: Non-Vulnerable Client assessment on Client investment profile, Performance Review, etc
• Perform reviews on KYC (Eg; onboarding, periodic reviews- IDV, ownership structure, SOW/SOI, AI)
• Handle internal /external audit queries
  

• Around 10 years of compliance testing or assurance experience from the private banking/wealth management industry.
• Familiar with recent regulatory changes/developments pertaining to the private banking industry.
  

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance and Sales

• Industries

  Staffing and Recruiting

Referrals increase your chances of interviewing at JAC Recruitment by 2x

Get notified about new Compliance Specialist jobs in Singapore, Singapore .

Compliance Manager/Officer - Regulatory Advisory and Affairs

Assistant Manager / Manager – Regulatory Compliance

Corporate Banking Compliance, AML Compliance Officer (MGR)

KYC Compliance (6 months contract) - Global Private Bank | Singapore

Financial Crime Compliance Specialist (FCC)

Compliance Officer - (Associate/Senior Associate)

Ethics & Compliance Specialist (Data Analytics)- Singapore

Senior Compliance Specialist (07-months Contract)

Manager, Regulatory Monitoring and Testing

Regulatory & Compliance Specialist (Foreign Bank)

Head of Compliance – Global Bank, Indonesia

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Job Responsibilities

• Conduct screening and due diligence review on prospects and referral partners before onboarding
• Conduct ongoing monitoring on existing clients
• Responsible for the implementation and enhancement of the Compliance framework within the company
• Conduct post transaction review to ensure adherence to balanced scorecard requirements, regulation and internal policies
• Track the CPD training hours of the licensed representatives and maintain the record keeping
• Prepare and maintain the compliance reports for management and regulatory reporting
• Assess the Outsourced Service Providers and administer the Outsourcing Register of Outsourced Service Providers
• Handle compliance related queries from staff

Job Requirements and Qualifications

• Bachelor's degree, preferably in Business related fields
• Minimum 3 years of compliance experience in the financial services or insurance industry
• Meticulous, good analytical and problem solving skills
• Familiar with Financial Advisers Act (FAA), Insurance Act, MAS Notices/Guidelines or Balanced Scorecard (BSC) framework is an added advantage

HOW TO APPLY:

Interested applicants, please click on "Apply Now". We regret only shortlisted candidates will be notified.

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EA License No: 19C9950

EA Personnel: Gao YueWen

EA Personnel Reg No: R23118964

• 3 to 8 years of experience in a compliance or regulatory role within a bank, payment services provider, or licensed financial entity.
• Strong communication and negotiation skills in English; multilingual abilities are a plus.
• A proactive and adaptable attitude in a fast-paced work environment.
• Keen interest in the fintech industry, e-commerce platforms, and cross-border payments.
• A sharp and strategic compliance mindset, capable of handling compliance reporting, anti-money laundering (AML) issues, and KYC requirements.
• Demonstrated agility in tackling challenges and problem-solving.

• Stay current with relevant payment license regulations, notices, and enforcement actions in Singapore.
• Advise management and internal stakeholders on compliance with applicable laws and regulations.
• Implement and maintain an effective compliance program in line with requirements from the Monetary Authority of Singapore (MAS) and other relevant authorities.
• Serve as the Money Laundering Reporting Officer (MLRO), managing AML/CFT-related escalations, analyses, reporting, and ensuring adherence to legal obligations.
• Develop and review internal compliance policies, procedures, and support system enhancement projects.
• Conduct periodic and ad-hoc risk assessments across various compliance risk areas.
• Create and oversee action plans in response to audit findings or compliance violations.
• Regularly review internal procedures and documentation to identify and mitigate risks.
• Support or lead responses to regulatory matters including filings, reporting, consultations, and inspections by MAS or other regulators.
• Ensure staff are up to date on compliance policies and regulatory changes through regular training.
• Collaborate with regional and global compliance teams.

• In-depth exposure to the fintech and e-commerce ecosystem, including partnerships with global e-sellers.
• Opportunities to learn from experienced professionals and mentors.
• Direct involvement in shaping strategic compliance initiatives and regulatory relationships.
• Career development in a high-growth environment with regional and international exposure.

The primary focus of this role is to ensure that all transactions align with customer profiles. You will be responsible for conducting periodic and ad-hoc AML reviews, including post-STR checks. Additionally, you will perform enhanced due diligence for high-risk clients, verify SOWs, identify and plug KYC gaps, highlight red flags or documentation issues, and assist with administrative tasks as needed.

• Conduct regular and ad-hoc AML reviews, including post-STR checks
• Perform enhanced due diligence on high-risk clients, including SOW verification
• Identify and address KYC gaps, highlighting potential risks or documentation issues
• Evaluate transaction data to ensure alignment with customer profiles
• Support administrative tasks and projects as required

• Degree in Banking, Finance, Accountancy, or Business
• Excellent stakeholder engagement skills
• Self-motivated team player with a strong work ethic

The candidate is responsible for ensuring that the company is conducting its business in full compliance of with all laws, including regulations this will involve the creation, review and implementation of policies and procedures and best practices within the industry. The Compliance Officer will assist in periodic client review and investors services for AML/KYC for funds services business.

Responsibilities

• In charge of the Compliance function at a CMS licensed wealth management business
• Oversee enterprise risk management
• Monitor regulated business activities to ensure adherence to CMS licensing conditions
• Provide updates to senior management on the regulatory environment and propose actions, where necessary
• Ensure all compliance policies are consistent with the latest regulatory requirements
• Formulate and update company's AML/CFT framework and policies
• Supervise the implementation of various compliance, risk, IT risk (TRM), internal controls and outsourcing policies
• Conduct client KYC/AML and annual reviews for new and existing clients
• Conduct due diligence and reviews on outsourced service providers
• Prepare, submit and handle enquiries related to regulatory returns, MAS annual and ad-hoc forms and surveys
• Oversees training and development for senior management and staff
• Key point of contact for MAS: Address queries from MAS and external authorities
• Coordinate internal and external compliance audits

Requirements

• Bachelors/Master's degree
• Min 3 years' experience working in a licensed/regulated business
• Responsible, independent, extremely diligent and detailed
• High stress tolerance

Our client is one of the leader in banking industry, they are seeking for both checkers and makers for KYC position.

Contract: 12 Months

Location: Changi Biz Park

• Perform KYC reviews and ensure documentation complies with local regulations and internal standards (scheduled & unscheduled reviews across varied risk classes).
• Monitor and track KYC records, develop and execute action plans for expiring records, and ensure no overdue cases.
• Promptly escalate any suspicious product usage from an AML perspective to senior management for further review.
• Conduct client identification, verification, and screening, including validation of customer address, employment, and connectivity to PEP/SPF (sanctions screening).
• Perform enhanced due diligence checks such as negative news and social media screening when required.
• Partner with internal stakeholders to ensure thorough due diligence and documentation reviews for customer accounts.
• Request and follow up with Relationship Managers/Outreach teams when additional information is required to complete reviews.
• Maintain high quality standards (90% and above) for KYC reviews.
• Escalate any technology issues or procedural clarifications to management for guidance.
• Ensure quality control (QC) reviews are completed on files before submission, and promptly resolve any discrepancies identified.
• Submit records for business approval once reviews are complete, and address discrepancies highlighted during BA reviews.
• Engage with customers directly when required to obtain KYC information.

PERSOLKELLY Singapore Pte Ltd
• RCB No. 20007268E EA License No. 01C4394
• EA Registration No. R21103542 (Ling Kai Jin)

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