Compliance Associate

Roles & Responsibilities

Are you ready for a compliance career with a global financial firm Join Orient Futures Singapore as a Compliance Associate now.

Our business philosophy is continual innovation to stay ahead and relevant to provide premium brokerage services to all clients. In tapping on financial technology, we digitalize and automate processes (from front office to back end) to provide customer experiences that are a step up from our competitors. While we strive towards empowering our clients to trade smarter through technology, we believe employees are our greatest assets and that the company's growth is attributed to the commitment of every team member.

As a Compliance Associate, you will be part of the Legal and Compliance team managing legal, regulatory compliance and corporate secretarial matters for Orient Futures Singapore including but not limited to the following:

· Develop trade surveillance policies and procedures for monitoring trading activities for any trading misconduct and money laundering suspicious transactions

· Carry out daily review of trade surveillance exception reports, follow-up on exceptions, determine and recommend remedial or preventive actions

· Escalate any breaches of regulatory requirements or misconduct or company policies

· Develop compliance review programmes, Compliance workplans, self-assessment questionnaire and any other compliance programmes as may be required by Head of Department, front and back office, parent company, regulators and authorities

· Liaise with relevant regulators, Head Office on any major findings and other compliance reporting requirements

· Provide compliance advisory support and guidance to back and front office regarding compliance with applicable laws, regulations and rules

· Assist Compliance Team/Head of Department to work on compliance tasks as may be required by Head of Department

Qualifications and Experience

· Degree from a recognised university or relevant legal or compliance professional qualifications.

· 3-5 years relevant experience

· Familiarity with the relevant laws, regulations and exchange rules in the securities and futures market is an added advantage

· Prior experience in regulatory compliance roles within the financial services industry would be an added advantage.

· Bilingual in English and Mandarin.

· Ability to work independently under pressure with attention to detail