Analyst, Compliance Officer, Compliance

Contextual Overview

CLSA is hiring an Analyst, Compliance Officer for its Singapore Compliance team reporting to the Head of Legal and Compliance, Singapore. The role covers a broad compliance mandate extending to multiple licensed entities and business lines including institutional cash equities sales and trading, research, fixed income, ECM, DCM, and asset management.

Key Eligibility Criteria

• At least 3 years of compliance, audit, or regulatory experience in the financial services sector.
• Compliance monitoring or testing experience is an advantage.
• Basic understanding and application of the Securities and Futures Act and SGX-ST rules.
• Strong interpersonal skills, excellent analytical skills, and quick logical thinking ability.
• Good writing, presentation skills, and attention to detail.

Responsibilities & Scope of Work

• Compliance Monitoring and Surveillance: Maintain and execute the ongoing compliance monitoring programme including trade surveillance using SMARTS Broker, staff dealing activity monitoring, monitoring of outside directorships, gifts and entertainment, and fly-in-fly-out activities.
• Central Compliance: Manage MAS licensing and SGX registration processes, monitor continuing obligations of appointed and trading representatives, handle regulator/auditor queries, and conduct compliance induction training.
• Compliance Advisory: Respond to internal queries relating to licensing requirements and group policies, track regulatory changes, assist with internal/external audits, and draft local compliance policies.

Stipend, Compensation & Mode

Compensation: Not Specified
Mode: Full-time (On-site in Singapore)

Application Procedure & Required Documents

Interested candidates can apply directly through the official job listing portal by submitting their updated resume and professional profile.

Official Notification & Contact Information

Official Portal: CLSA Job Application via LinkedIn
Contact: Not specified