Compliance Associate

Company Overview

OPTIMUM SOLUTIONS (SINGAPORE) PTE LTD is a Singapore-headquartered IT outsourcing firm specializing in software engineering, application development, IT infrastructure management, and digital transformation services since 1997.

Job Summary

You will provide compliance coverage for a client and lead the implementation of an employee compliance platform to ensure regulatory adherence and operational excellence.

Responsibilities

• Conduct employee-related compliance checks covering personal trading, gifts and entertainment, outside business activities, conflicts of interest, mandatory leave monitoring, employee due diligence, and compliance training to mitigate risks.
• Perform periodic compliance reviews to evaluate adherence to Singapore financial regulations and identify areas for improvement.
• Monitor and report substantial shareholdings to ensure transparency and regulatory compliance.
• Coordinate with internal teams to prepare and submit regulatory surveys, filings, notifications, and reports for the company, its representatives, or funds to relevant regulators.
• Monitor regulatory developments continuously and assess their impact on company policies and operations.
• Assist internal and external auditors during regulatory audits by providing necessary documentation and clarifications.
• Support compliance and operational initiatives and projects, including leveraging AI tools to enhance process efficiency.
• Engage in additional regulatory compliance areas based on demonstrated aptitude and business needs.

Preferred competencies and qualifications

• Degree in Accountancy, Business, Finance, Law, or related disciplines from a recognised university, with a focus on financial regulations.
• 1 to 2 years of experience in compliance, audit, or risk management within asset management or capital markets.
• Ability to apply problem-solving skills, particularly using AI, to improve operational processes.
• Self-motivated, well-organised, independent, and capable of managing multiple tasks effectively.
• Proficient command of written and spoken English.

Skills

Financial Compliance, Due Diligence, Risk Assessment, Regulatory Compliance, Compliance Organization, Implementation of Compliance Requirements, Risk Management, Optimize Production Processes, Internal Controls, Employment Law Compliance, Corporate Compliance, Financial Regulation, Audit Documentation