536 Security Policies jobs in Singapore

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

Assist the Head of Legal in all KYC, risk, compliance, governance, internal control matters in the Legal Department of the Company, particularly relating but not limited to the following matters:-

• Manage corporate secretary and corporate governance-related matters.
• Oversee the onboarding KYC process and conduct periodic KYC reviews.
• Conduct compliance reviews of all internal rules and regulations.
• Research legal matters, write reports, and perform any legal administrative or supporting tasks as required in the Legal Department, supporting the Head of Legal in maintaining an efficient compliance mechanism.
• Implement and oversee internal control systems to prevent and detect non-compliance with company policies and legal regulations.
• Continuously assess the effectiveness of existing controls and recommend improvements as necessary.
• Identify operational and compliance risks through regular reviews of procedures, reports, and workflows.
• Evaluate new business projects or changes for potential compliance risks and recommend mitigation measures.
• Propose corrective actions to address control weaknesses and non-conformities.
• Collaborate closely with other departments to ensure consistent enforcement of internal policies and external regulations.
• Provide guidance, training, and advisory support to departments on internal controls and compliance standards.
• Assist in internal audits and investigations by preparing documentation and coordinating with relevant stakeholders.
• Prepare compliance reports and dashboards for management as applicable.
• Stay updated on relevant laws, regulations, and industry best practices in risk and compliance.
  Perform other job-related duties as assigned.

Requirements:

• Bachelor's Law Degree from local universities in Singapore (preferable).
• Admitted to practise law in Singapore Courts (preferable).
• Preferably with 1 to 2 years of local working experience in law firms, financial institutions, or international companies within similar industries.
• An ethical working attitude and will be diligent to carry out all the tasks assigned by the Head of Legal, whether challenging or non-challenging.
• Able to work under pressure and on short notice with a deadline for deliverables.
• Proficient in written and spoken Mandarin to coordinate and provide legal assistance to Mandarin-speaking colleagues and counterparts.
• Good understanding of governance frameworks, internal control standards, and regulatory requirements.
• Strong analytical, problem-solving, and communication skills.
• Ability to work independently, maintain confidentiality, and collaborate with cross-functional teams.
• Detail-oriented and proactive in identifying and addressing compliance risks.

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

We are seeking an experienced and detail-oriented Compliance Officer to join our team. This role is to support the Chief Compliance Officer in ensuring that the company complies with regulatory requirements as well as internal policies.

Job Responsibilities

1. Conduct screening and due diligence review on prospects and referral partners before onboarding

2. Conduct ongoing monitoring on existing clients

3. Responsible for the implementation and enhancement of the Compliance framework within the company

4. Conduct post transaction review to ensure adherence to balanced scorecard requirements, regulation and internal policies

5. Track the CPD training hours of the licensed representatives and maintain the record keeping

6. Prepare and maintain the compliance reports for management and regulatory reporting

7. Assess the Outsourced Service Providers and administer the Outsourcing Register of Outsourced Service Providers

8. Handle compliance related queries from staff

Job Requirements and Qualifications

1. Bachelor's degree, preferably in Business related fields

2. Minimum 3 years of compliance experience in the financial services or insurance industry

3. Self-motivated and driven, able to work independently

4. Meticulous, good analytical and problem solving skills

5. Good communication and interpersonal skills

6. Proficiency in Chinese is required as this role requires to read and understand Chinese articles

7. Familiar with Financial Advisers Act (FAA), Insurance Act, MAS Notices/Guidelines or Balanced Scorecard (BSC) framework is an added advantage

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

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)

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

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

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