GF - Singapore Equities Compliance Officer

Recruiter
Citibank NA
Location
Singapore
Salary
Competitive
Posted
14 Aug 2017
Closes
16 Aug 2017
Sector
Legal
Contract Type
Permanent
Hours
Full-time
  • Primary Location: Singapore,Singapore,Singapore
  • Education: Bachelor's Degree
  • Job Function: Compliance and Control
  • Schedule: Full-time
  • Shift: Day Job
  • Employee Status: Regular
  • Travel Time: No
  • Job ID: 17055946


Description

Position Objective:
The purpose of the Singapore Equities Compliance role is to ensure that the business area maintains a high standard of regulatory compliance and to protect the reputation of the business. The person will be responsible for:
  • Providing compliance and regulatory advice and services primarily to the Singapore Equities Business within Singapore Markets and Securities Services
  • Liaising closely with Singapore Equities Business Heads and Business Unit Manager in establishing priorities and carrying out tasks.
  • Review escalations from Regional Surveillance and Monitoring teams and handle regulatory enquiries
  • Maintain strong relationships with key regulators and exchanges: the Monetary Authority of Singapore and the Singapore Exchange Limited
Key Responsibilities:

Specific responsibilities include:
  • As the Singapore Equities Compliance, the person will be responsible for:
Advisory:
  • Provide timely advice on legislative and regulatory obligations and also, on Citi internal policies in relation to the activities conducted within the Singapore Equities
  • Review new product proposals and initiatives and working with the Compliance Seniors to ensure compliance with regulatory requirements and internal policies/procedures
  • Provide comments to compliance policies and procedures so that it reflects current Singapore regulatory environment
Training:
  • Develop and deliver compliance training programs
Surveillance:
  • Partner with the Regional Surveillance and Monitoring teams to develop surveillance programs to comply with regulatory requirements
  • Analyze and review all escalations arising from the monitoring and surveillance programs and, if necessary, supplement with ad hoc desk reviews, maintaining detailed records of findings and action items
  • Identify priorities and issues requiring escalation; and
  • Escalate serious issues of non-compliance to Compliance and line management, maintaining a complete record of incidents, investigation and outcomes
Development Value
  • This role helps developing the employee to manage the relationships with Compliance officers throughout Asia Pacific to achieve consistent outcomes and project goals.


Qualifications

Experience:
  • Experience in a compliance/regulatory or audit role
Skills:
  • Excellent written and verbal communication skills
  • Good at developing effective plans and solves problems
Qualification:
  • Tertiary qualifications in a business discipline is ideal but not essential
Competencies:
  • Knowledge of financial markets and transactions, especially on Singapore Equities Markets
  • Knowledge of financial markets regulatory environment, including Singapore Exchanges Rules