237 Security Policies jobs in Singapore
Compliance Officer, Compliance
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Position Description
This is a 6-month contractual (potentially extendable) position for a period of maternity leave coverage. As a member of the Singapore Compliance team reporting to the Head of Compliance, Singapore, and with further support from head office, the incumbent will have the exciting opportunity to support multiple business lines across a number of licensed entities in Singapore, including, wealth management, institutional cash equities sales and trading, research, Delta One & Equity Derivatives, fixed income sales and trading, ECM, DCM and asset management businesses.
Key Areas of Responsibilities
The incumbent will have the following shared responsibilities with other members of the Singapore Compliance team:
Compliance Monitoring and Surveillance
- maintaining and executing the Compliance Monitoring Programme, which includes, amongst others:
- trade surveillance by analysing trade data and via the use of SMARTS Broker trade surveillance tool;
- monitoring of staff dealing activity and compliance with staff dealing policy;
- monitoring of staff outside directorships, business interests and activities;
- monitoring of gift and entertainment of staff;
- monitoring of fly-in-fly-out activities of licensed staff;
- conducting Compliance desk reviews/thematic reviews, as may be required, based on emerging risks or new regulatory requirements;
Central Compliance
- managing the MAS licensing and SGX registration process for new front office staff;
- monitoring and following up with existing MAS appointed representatives and SGX trading representatives on their continuing obligations, amongst others, changes in personal particulars and business interests, continuing professional development and register of securities;
- liaising with relevant internal stakeholders to complete surveys/forms/questionnaires requested by MAS/SGX;
- handling simple requests and queries from regulators/auditors;
- ensuring that all Compliance correspondences/records and registers are duly tracked and maintained;
- conducting Compliance induction training for all new staff and other basic training as may be required by the team leaders of Compliance, Singapore;
- facilitating staff completion of mandatory Compliance trainings and declarations;
- assisting with Compliance reporting to local and group management;
Compliance Advisory (depending on bandwidth)
- responding to simple internal queries, for example, those relating to licensing requirements or group Compliance policies/procedures such as staff dealing, outside business interests, and gift and entertainment, etc;
- assisting the team leaders of Compliance, Singapore, to track and manage regulatory changes/new regulatory requirements;
- be part of a project team to manage new regulatory changes or new business activities, as may be required by the team leaders of Compliance, Singapore;
- assisting the Head of Compliance, Singapore, to handle all internal/external audits and MAS/SGX inspections;
- assisting the team leaders of Compliance, Singapore, to draft local Compliance policies and procedures, as may be required; and
- assisting with all other ad-hoc tasks as required by the team leaders of Compliance, Singapore.
Requirements
- At least 3 years of Compliance/audit/regulatory experience in the financial services sector
- Experience in Compliance advisory support for wealth management or equity derivative businesses will be an advantage
- Excellent analytical skills and quick logical thinking ability
- Strong interpersonal skills
- Good writing and presentation skills
- Attention to detail
- Ability to operate independently and to multi-task
- Proficiency in Microsoft Office Applications for both data collection and interpretation of the results that can presented clearly and concisely
- Understanding of Compliance role and risk-based Compliance approach, and ability to identify and remediate key Compliance risks
- Basic understanding and application of the Securities and Futures Act and SGX rules
- Proficiency in spoken and written Mandarin will be considered an asset, as the role may involve communicating with Mandarin-speaking stakeholders and reviewing relevant documentation in Mandarin as part of official duties
compliance officer
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- Provide operational support to staff for customer due diligence processing
- Undertake AML screening using in-house systems
- Follow-up to close-out screening alerts
- Assist with other tasks for the onboarding screening desk
- Conducting of compliance trainings
- Understand compliance requirements for company
Compliance Officer
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Compliance
Compliance Officer - Singapore
SG, Singapore (Hybrid)
Description
We're looking for a proactive Compliance Officer to join our Global Compliance Department. This key role focuses on product compliance, through the enforcement of our internal standards, prevention of misuse, and the promotion of ethical practices across the organization. You'll implement business principles, ethics procedures including KYC procedures, and manage projects while supporting overall Compliance and Ethics initiatives.
Responsibilities
- Develop and maintain compliance policies, ensuring alignment with Bright Data's values.
- Oversee ethical compliance in service usage.
- Detect and prevent fraud and create prevention tools.
- Conduct audits to ensure policy adherence and recommend improvements.
- Communicate directly with, and evaluate customers and partners, for policy alignment and to provide guidance.
- Report findings and update policies to address new risks.
Requirements
- Proven experience in compliance and fraud prevention.
- Familiar with fraud systems, compliance frameworks, and AI investigative tools.
- Strong analytical and communication skills with keen attention to detail.
- A degree in law, business, or data science - an advantage.
- CCEP or CFE certifications - an advantage.
- Excellent verbal and written communication skills in Chinese and English - a must, additional languages - an advantage.
Compliance Officer
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Job Title: Compliance Officer (Academic Assessments)
Location: FirstCom Academy, Singapore
Employment Type: Full-Time
Working Hours: 9am - 6pm (Monday - Friday)
Salary: $3000 - $4000
About FirstCom Academy
At FirstCom Academy, we equip individuals and businesses with the digital skills needed to thrive in today's fast-evolving landscape. As a leader in adult education, we're committed to ensuring the highest standards of course delivery, assessments, and learner outcomes.
Job Overview
We are seeking a detail-oriented and meticulous Internal Auditor to join our team. This role is pivotal in upholding the integrity, compliance, and quality of learner assessments, tests, and other related documents across all courses. You will be responsible for reviewing completed assessments to ensure proper marking, trainer adherence to assessment guidelines, and overall academic quality assurance.
Key Responsibilities
- Conduct regular audits of learner assessments, test papers, and other related documents to ensure they meet internal standards and regulatory compliance (e.g. SSG, WSQ frameworks).
- Verify that trainers have marked assessments accurately and consistently according to official marking schemes and rubrics.
- Identify discrepancies, incomplete marking, or procedural lapses in the evaluation process.
- Prepare audit reports summarizing findings, non-compliance areas, and suggested corrective actions.
- Collaborate with trainers and curriculum developers to clarify assessment standards and improve consistency.
- Provide feedback and recommend improvements to enhance assessment processes and documentation practices.
- Track and follow up on corrective actions to ensure resolution and compliance.
- Ensure assessment documents are properly archived and audit-ready at all times.
- Participate in internal meetings and contribute to continuous improvement initiatives.
Requirements
- Diploma or Degree in Education, Business Administration, Quality Assurance, or a related field.
- Fresh graduates are welcome to apply – training will be provided.
- Meticulous with a keen eye for detail and a strong sense of responsibility.
- Strong written and verbal communication skills.
- Comfortable working with documentation, checklists, and spreadsheets (e.g. Excel, Google Sheets).
- Able to work independently and manage tasks in a structured and timely manner.
- A willingness to learn about academic compliance standards and contribute to process improvements.
- Bonus: Familiarity with adult education, WSQ frameworks, or assessment documentation is a plus.
Why Join Us?
- Be part of a growing and dynamic team that's passionate about education.
- Contribute to shaping the quality and credibility of digital education in Singapore.
- Attractive remuneration package and career progression opportunities.
- Friendly and vibrant working environment.
Compliance Officer
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About 1exchange
1exchange ("1X") is the first MAS-licensed private markets exchange in Singapore offering a "light-touch" and cost-effective private listing venue designed for family businesses, and growth and pre-IPO companies. A member of FOMO Group, the exchange provides companies with market-oriented solutions such as direct private listings. With a 1X listing, founders, owners, and growth-stage companies can achieve partial exits and tradability in private shares while retaining flexibility and control.
Visit for more information. For general inquiries, please contact .exchange. For media inquiries, please contact .exchange.
Key Responsibilities:
- Perform gap analysis on new/updated regulations which are applicable to CapBridge and 1X
- Drafting & Implementation of Compliance procedures
- Licensing of representatives, including monitoring of employee dealing activities and related party transactions
- Conduct KTT/KYC for customers, counterparties and issuers during onboarding
- Conduct periodic reviews (including trigger reviews) on customers
- Clearing of name screening alerts for customers
- Monitoring of dormant accounts
- Assist HOC in implementing the sales and digital advisory process to cater to retail clients
- Assist HOC in performing the EWRA in conjunction with Operational Risk Management
- Escalating compliance issues to HOC following results of Compliance reviews
- Assist HOC in Group related alignment IT projects, including participating in UAT
- Assist HOC in collating information needed for reporting and audit purposes
- Collaborate with the Group business units to foster a positive compliance and governance culture through effective compliance awareness, engagement, advisory and monitoring programs
Requirements:
- Diploma/Degree in Accountancy, Finance or Business or other relevant qualification
- Minimum 3-5 years of Capital Markets/Insurance/Trust/Private Market/Real World Assets (RWAs) experience in the Financial industry
- Able to perform due diligence during onboarding with experience in conducting KYC with good understanding on SOW /SOF
- Good understanding of MAS' AML/CFT regulatory requirements
- Proactive and problem-solver who is creative, with ability to adapt and improvise accordingly
- Meticulous and sensitive in handling clients' information
- Ability to work effectively under pressure in a team environment
- Excellent interpersonal and communication skills (Candidate is expected to collaborate with different Business Teams)
- Diligent and firm with high ethical standards
Compliance Officer
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About CapBridge
CapBridge, a member of FOMO Group, is a leading digital investment platform headquartered in Singapore. As a Capital Markets Services licensee, CapBridge is regulated by the Monetary Authority of Singapore (MAS) to offer top-tier funds, digital asset funds, stocks, bonds, equities, and arrange life insurance products. It provides mass affluent, HNWIs, and institutional clients with seamless access to both private and public markets, meeting clients' diverse asset allocation needs.
For more information, please visit . For media inquiries, please contact .
Key Responsibilities:
- Perform gap analysis on new/updated regulations which are applicable to CapBridge and 1X
- Drafting & Implementation of Compliance procedures
- Licensing of representatives, including monitoring of employee dealing activities and related party transactions
- Conduct KTT/KYC for customers, counterparties and issuers during onboarding
- Conduct periodic reviews (including trigger reviews) on customers
- Clearing of name screening alerts for customers
- Monitoring of dormant accounts
- Assist HOC in implementing the sales and digital advisory process to cater to retail clients
- Assist HOC in performing the EWRA in conjunction with Operational Risk Management
- Escalating compliance issues to HOC following results of Compliance reviews
- Assist HOC in Group related alignment IT projects, including participating in UAT
- Assist HOC in collating information needed for reporting and audit purposes
Collaborate with the Group business units to foster a positive compliance and governance culture through effective compliance awareness, engagement, advisory and monitoring programs
Requirements:
- Diploma/Degree in Accountancy, Finance or Business or other relevant qualification
- Minimum 3-5 years of Capital Markets/Insurance/Trust/Private Market/Real World Assets (RWAs) experience in the Financial industry
- Able to perform due diligence during onboarding with experience in conducting KYC with good understanding on SOW /SOF
- Good understanding of MAS' AML/CFT regulatory requirements
- Proactive and problem-solver who is creative, with ability to adapt and improvise accordingly
- Meticulous and sensitive in handling clients' information
- Ability to work effectively under pressure in a team environment
- Excellent interpersonal and communication skills (Candidate is expected to collaborate with different Business Teams)
- Diligent and firm with high ethical standards
Compliance Officer
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About Tradition
Tradition is one of the world's largest interdealer brokers in over-the-counter financial and commodity products. We are the interdealer broking arm of Compagnie Financière Tradition, listed on the Swiss stock exchange and represented in more than 30 countries worldwide. Learn more at
About the Role
We are seeking a motivated Compliance Officer to join our Singapore office as part of the Singapore team. Reporting to the Singapore Compliance Manager and working with the APC regional team, you will play a key role in ensuring the business operates in full compliance with regulatory and internal standards. This is a hands-on role suited to someone who thrives in a fast-paced financial markets environment.
Key Responsibilities
- Manage day-to-day compliance operations including client & vendor onboarding, trade & communication surveillance, regulatory reporting, and staff queries.
- Monitor and assess regulatory developments affecting the business and advise management on potential impacts.
- Support engagement with regulators, exchanges, and affiliated companies on compliance matters.
- Deliver compliance training to employees, including induction for new joiners and periodic refresher sessions.
- Participate in annual risk assessments, maintain control documentation, and ensure policies and procedures are up to date.
- Promote a strong compliance culture by working closely with front-office and support teams.
Requirement
- Degree or equivalent in business or finance field
- At least 2 years of relevant working experiences
- Prior experience in an interdealer broker, futures company, bank or trading house within the financial industry will be advantageous
- Proficiency in Microsoft Office applications
- Team player with strong communication skills
- Able to work independently on compliance tasks
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Compliance Officer
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Support the compliance function with a focus on AML and transaction monitoring. This role ensures adherence to local regulatory requirements and internal risk management policies, while providing guidance to internal teams and clients.
Key Responsibilities
- Conduct AML checks, client due diligence, and ongoing transaction monitoring.
- Verify client data and documentation; ensure compliance with regulatory and internal standards.
- Identify, investigate, and escalate unusual or suspicious activities.
- Manage compliance case load, tracking reviews and follow-ups to completion.
- Liaise with internal teams (e.g., Sales, Product, Legal) to resolve compliance or documentation queries.
- Maintain compliance inbox and respond to stakeholder queries in a timely manner.
- Support senior compliance leadership in audits, reviews, and regulatory reporting.
- Contribute to process improvements to strengthen compliance controls and efficiency.
Requirements
- 2+ years' compliance experience across financial services sector
- Strong background in AML/CFT regulations, etc
- Proficiency with compliance systems
EA License: 23S1921
EA Reg ID: R
Compliance Officer
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We are offering a fantastic opportunity for an experienced Compliance Officer to join our fast-paced international team. You will be responsible for:
- Carry out anti-monetary laundering (AML) checks and risk assessments on agencies, introducers, and other intermediaries.
- Verify agency compliance with UK Money Laundering Regulations and internal standards.
- Ensure appropriate identification of beneficial owners.
- Monitor and review ongoing business relationships for financial crime risks.
- Maintain AML records and audit trails for agency checks.
- Provide AML training and guidance to internal teams on working with external agencies.
The ideal candidate will have:
- Bachelor's degree (Preferably in Finance, Economics related field)
- Possess integrity and maturity to keep confidential and personal information private.
- Highly-motivated and adaptable.
- Strong work ethics and a great team player.
- Willing to work on weekends or urgent cases when required.
Office Location: 10 Marina Boulevard 16-04, Tower 2 Marina Bay Financial Centre,
Next to: Downtown MRT station (Blue Line)
Compliance Officer
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Our client is a leading HNW insurance brokerage firm specializing in bespoke insurance solutions for affluent individuals, families, and businesses.
Key Responsibilities:
- Conduct screening and due diligence on prospects and referral partners prior to onboarding
- Perform ongoing monitoring of existing clients to ensure compliance standards are met
- Support the implementation, review, and enhancement of the Compliance framework
- Carry out post-transaction reviews to ensure adherence to regulatory requirements, balanced scorecard standards, and internal policies
- Track and maintain records of licensed representatives' CPD training hours
- Prepare compliance reports for management review and regulatory submissions
- Assess outsourced service providers and manage the Outsourcing Register
- Provide guidance and handle compliance-related queries from staff
Requirements:
- Bachelor's degree, preferably in Business or related disciplines
- At least 3 years of compliance experience within the financial services or insurance industry
- Strong analytical, problem-solving, and organizational skills with attention to detail
- Ability to work independently, with a proactive and self-motivated mindset
- Excellent communication and interpersonal skills
- Ability to read and understand Chinese articles
- Knowledge of the Financial Advisers Act (FAA), Insurance Act, MAS Notices/Guidelines, or the Balanced Scorecard (BSC) framework will be an advantage
Lily Yang, Recruit Avenue Pte. Ltd.
EA License Number: 23C1935 | EA Personnel Number: R
Insurance