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- Tasks: Manage compliance framework and oversee regulatory obligations while advising business units.
- Company: Leading financial firm committed to compliance excellence.
- Benefits: Attractive salary, professional development, and a supportive work environment.
- Why this job: Play a crucial role in shaping compliance strategies and making a real impact.
- Qualifications: 7+ years in compliance with strong knowledge of MAS regulations and AML/CFT laws.
- Other info: Fast-paced environment with opportunities for mentorship and career advancement.
The predicted salary is between 48000 - 72000 £ per year.
The Senior Compliance Officer plays a key role in managing and strengthening the firm’s compliance framework. The role is responsible for overseeing regulatory compliance, AML/CFT controls, surveillance activities, and regulatory reporting, while providing advisory support to business units and assisting the Head of Compliance on strategic and regulatory matters.
Key Responsibilities
- Ensure full compliance with MAS regulations, SFA requirements, and relevant Singapore laws, while advising business teams on regulatory obligations.
- Monitor regulatory changes and lead implementation of new rules, especially for new financial product launches.
- Oversee the firm’s AML/CFT and KYC framework, ensuring adherence to MAS Notices, Guidelines, and FATF standards.
- Review and approve high‑risk onboarding, EDD cases, and conduct ongoing AML/KYC monitoring, including investigating suspicious activities and supporting STR processes.
- Develop, maintain, and enhance compliance policies, procedures, and internal controls, including performing monitoring, thematic reviews, and control testing.
- Manage regulatory reporting and act as a key contact for MAS inspections, audits, and regulatory inquiries.
- Oversee trade surveillance and monitoring of client activities, ensuring timely escalation of unusual or suspicious behaviour.
- Support leadership initiatives, assist the Head of Compliance, mentor junior staff, and deliver firmwide compliance training.
Requirements
- At least 7 years of compliance experience in a broker‑dealer or CMSL‑licensed firm.
- Strong understanding of MAS regulations, SFA, FATF standards, and Singapore AML/CFT laws.
- Hands‑on experience with compliance monitoring, AML, and trade surveillance systems.
- Proven experience in regulatory reporting and interacting directly with MAS and Exchanges.
- Strong analytical ability, attention to detail, and capacity to manage multiple deadlines in a fast‑paced environment.
- Excellent communication skills in English and Chinese, with strong stakeholder‑management capability.
Senior Compliance Officer employer: ORIENT FUTURES INTERNATIONAL (SINGAPORE) PTE. LTD.
Contact Detail:
ORIENT FUTURES INTERNATIONAL (SINGAPORE) PTE. LTD. Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Officer
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field and let them know you're on the lookout for opportunities. You never know who might have the inside scoop on a Senior Compliance Officer role that’s not even advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on MAS regulations and recent changes in compliance laws. Show us you’re not just familiar with the rules but also passionate about staying ahead of the game. We love candidates who can discuss how they’ve implemented compliance strategies in their previous roles.
✨Tip Number 3
Don’t forget to showcase your analytical skills! Be ready to share examples of how you've tackled complex compliance issues or improved processes in your past jobs. We want to see your problem-solving abilities in action!
✨Tip Number 4
Finally, apply through our website! It’s the best way to ensure your application gets noticed. Plus, it shows us you’re genuinely interested in joining our team and contributing to our compliance framework.
We think you need these skills to ace Senior Compliance Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Officer role. Highlight your experience with MAS regulations and compliance frameworks, as well as any relevant achievements that showcase your skills in regulatory reporting and AML/CFT controls.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Mention specific experiences that align with the key responsibilities, like overseeing trade surveillance or mentoring junior staff.
Showcase Your Analytical Skills: Since this role requires strong analytical abilities, make sure to include examples of how you've successfully managed compliance monitoring or conducted investigations into suspicious activities. Numbers and outcomes can really make your application stand out!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you don’t miss any important updates from us. Plus, we love seeing applications come directly from our site!
How to prepare for a job interview at ORIENT FUTURES INTERNATIONAL (SINGAPORE) PTE. LTD.
✨Know Your Regulations
Make sure you brush up on MAS regulations, SFA requirements, and Singapore AML/CFT laws. Being able to discuss these confidently will show that you’re not just familiar with the rules but also understand their implications for the firm.
✨Showcase Your Experience
Prepare specific examples from your past roles where you've successfully managed compliance frameworks or dealt with regulatory reporting. This will help demonstrate your hands-on experience and analytical skills, which are crucial for the Senior Compliance Officer role.
✨Be Ready for Scenario Questions
Expect questions that put you in hypothetical situations related to compliance challenges. Think about how you would handle high-risk onboarding or suspicious activity investigations, as this will highlight your problem-solving abilities and decision-making process.
✨Engage with Stakeholders
Since strong stakeholder management is key, be prepared to discuss how you've effectively communicated with various teams in the past. Share examples of how you’ve mentored junior staff or delivered compliance training, showcasing your leadership skills.