Analyst/Associate, Compliance

4 days ago

Manila, National Capital Region, Philippines KGI Securities (Singapore) Pte. Ltd. Full time ₱300,000 - ₱600,000 per year

The duties of Analyst/Associate - Compliance officer will be mainly to assist the Compliance team in performing the compliance reviews and trade surveillance reviews in accordance with the work plan. Other duties may include providing regulatory guidance to internal stakeholders in accordance with relevant regulations.

Key Responsibilities:

  • Develop compliance review programmes, 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.
  • Conduct Compliance reviews and testing including trade surveillance, AML and BSC, and escalate any breaches of regulatory requirements or misconduct or company policies.
  • Carry out any compliance tasks as and when necessary as directed by the Head of Department.
  • Carry out awareness briefing and staff training on regulatory requirements, company policies and procedures.

Requirements and Skills:

  • Degree holder with minimum 2-4 years of relevant experience.
  • Familiarity with the relevant laws, regulations and exchange rules in the securities and/or futures market (Futures Trading Rules, AML) is a plus.
  • Meticulous, positive attitude and pro-active.
  • Strong communication, interpersonal, analytical and organizational skills.
  • Team player yet able to work independently and interact with people at all levels.
  • Relevant experience in exchanges (e.g. in market surveillance or supervision departments), public accounting firms, securities and futures brokerage firms and other financial institutions are encouraged to apply.

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