Senior Associate, Compliance

About the company

CGS International Securities Pte. Ltd. (CGS International) is an award-winning and market leading integrated financial services provider, ranked among the top securities houses in Asia.

CGS International taps on our wealth of global and ASEAN insights to offer equities trading, leveraged products, wealth management, investment banking, equities research, Shariah-compliant financing, fixed income, currency and commodities, structured products and prime brokerage services in over 15 countries and regions.

Along with its parent organisation China Galaxy Securities, a leading securities house in China, CGS International is trusted by more than 15 million customers globally.

Key Responsibilities:

Compliance Reviews & Monitoring

• Conduct periodic compliance reviews.
• Document findings, track remediation actions, and maintain supporting evidence.

Operational Risk, Controls & Governance

• Act as Departmental Compliance Operational Risk Officer (DCORO).
• Coordinate Compliance Risk & Control Self-Assessments (RCSA), Compliance Effectiveness Testing (CET), and Key Risk Indicator (KRI) monitoring.
• Maintain audit-ready evidence and supporting documentation for all control testing activities.
• Oversee:

· User access and shared drive reviews.

· Business Continuity Planning (BCP) and testing.

Business Unit Compliance Oversight

• Review Compliance Matrices and self-testing results submitted by Business Units.
• Assess exceptions, identify control weaknesses, and follow up on remediation actions.

Control Room & Trade Surveillance

• Support staff personal trading reviews and restricted/watch list administration.
• Perform trade surveillance reviews and investigations relating to potential market misconduct.
• Review escalations from AML and business units involving trading activities and market conduct concerns.
• Handle regulatory enquiries and information requests relating to trading activities.
• Facilitate regulatory notifications, including SGX direct business (marriage deal) notifications.

Job Responsibilities:

• Bachelor's Degree.
• Min. 3 years relevant experience preferred.
• Familiar with the Securities and Futures Act (SFA), SGX-ST Rules and SGX-DT Rules.
• Sound understanding of applicable laws, regulations and industry standards, and their practical impact on securities industry operations.
• Proficient in Microsoft Office applications.
• Strong analytical, critical thinking and problem-solving skills.
• Good product knowledge relevant to the securities and capital markets industry.
• Ability to manage competing priorities and work effectively in a fast-paced environment.
• Problem solver, resourceful, good communicator, enjoy doing repetitive tasks, independent and proactive.
• Good interpersonal and communication skills.
• Strong team player with the ability to work independently and take initiative.
• Ability to build effective working relationships with stakeholders across different functions and levels.