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Compliance Specialist - D01 Cecil, Marina, People’s Park, Raffles Place, SG

MOOMOO FINANCIAL SINGAPORE PTE. LTD.D01 Cecil, Marina, People’s Park, Raffles Place, SG

6 days ago

Job description

Roles & Responsibilities

Moomoo Financial Singapore Pte. Ltd. (Moomoo Singapore) is an advanced financial technology company transforming the investing experience by offering a digitalised brokerage and wealth management platform – moomoo. Moomoo enhances the user experience with market data, news, and powerful analytical tools. Moomoo also embeds an unique digitalised investment community to connect all users, investors, companies, analysts, media and key opinion leaders.

In Singapore, Moomoo Financial Singapore Pte. Ltd. ( www.moomoo.com / sg ) offers investment products for trading via the moomoo platform, and it is a capital markets services licence holder regulated by the Monetary Authority of Singapore (Licence No. CMS101000). In June 2022, Moomoo Singapore became the first digital brokerage to receive all five memberships from the SGX Group for the securities and derivatives markets.

Working at Moomoo, you will get

Be a part of the world’s leading digital brokerage firm where growth and career development opportunities are endless.
Enjoy a competitive total compensation package that truly values your skills and contributions.
Comprehensive insurance coverage for employees and dependents to provide you a peace of mind
Fun loving and diverse work environment that hosts various team-bonding programs and company events
Business casual work attire everyday
And Much More! : Discover even more perks and benefits as we take you through the hiring process!

Job Summary : The Transaction Monitoring / Trade Surveillance Officer is a crucial member of our organization responsible for ensuring the company's adherence to all relevant laws, regulations, and internal policies. This role involves overseeing the surveillance services designed to detect behaviours that may violate regulatory rules or Moomoo SG’s internal policy and procedures. Effective communication with various departments is essential for maintaining a robust compliance program.

Compliance Specialist (Trade Surveillance / Transaction Monitoring)

Responsibilities

Undertake the investigation and assessment of transaction monitoring alerts. Collaborate with relevant departments to evaluate and address potential issues identified through transaction monitoring. Ensure that all reviews and investigation conclusions are adequately documented.

Perform trade surveillance checks across various asset classes, including but not limited to equities, derivatives, and cryptocurrency transactions. Ensure that all reviews and investigation conclusions are properly documented.

Contribute to the design and development of systems to enhance surveillance coverage. Communicate with the product team to ensure the system functions as designed and developed

Stay informed of regulatory updates that may impact the surveillance program, and continuously seek ways to enhance the program to ensure it remains relevant and up-to-date.

Develop and update compliance policies and procedures. Ensure that policies and procedures are aligned with changes in local laws and regulations.

Facilitate effective internal collaboration. Serve as a liaison between compliance and other departments to foster a coordinated approach to compliance. Work collaboratively with legal, risk management, and other teams to address compliance-related concerns and implement corrective actions.

Respond to regulatory requests from regulators and upstream providers.

Participate in ad hoc projects and tasks as assigned, ensuring the effective completion of all responsibilities.

Requirements

Preferably to have a degree or diploma or any other equivalent qualifications in business, Finance, or a related field.

Proven experience in compliance roles with at least 2-3 years of experience.

Strong analytical and problem-solving skills.

Able to work under pressure within tight deadlines with no loss of accuracy.

A proactive and reliable team player but can also work well independently.

Experience with Nasdaq SMARTS and Athena will be a Plus.

Preferably to have Professional certifications in compliance (e.g., CAMS, ICA Diploma).

English speaking and Fluency in Mandarin is an added advantage

Our Values

Integrity Story : Say No to Super High Leverage

We hold fast to our value of integrity and attach great importance to user experience and risk management. Unlike some other brokerages, we don’t try to attract users’ attention by claiming to enable super high-leverage financing for IPO subscriptions, which quickly reaches the limit.

Efficiency Story : Promise Made to a User on New Year's Eve

On February 11, 2021, Chinese New Year's Eve, a user wrote a post in the Community at around 8 AM and received Leaf's reply just 8 minutes later. According to the user's suggestion, we issued a letter to shareholders after releasing our annual report.

Service Story : Providing Excellent Services and Undertaking Our Responsibilities

After Ant Group’s IPO was suspended, we refunded all subscribers’ subscription fees and margin interest, bearing all the costs ourselves.

Excellence Story : Leaf Opens Our App Over 30 Times a Day

According to statistics, Leaf opens our app over 30 times a day on average. He repeatedly checks every detail. While normal users might just enter a trading page and stop there, Leaf taps some seemingly boring or repetitive elements on the page. He continually assesses the app’s loading speed and visual effects.

Please note that only short-listed candidates will be contacted.

Tell employers what skills you have

Wealth Management

Brokerage

Derivatives

Work Well Independently

Investigation

Upstream

Visual Effects

Risk Management

Securities

Surveillance

Capital Markets

Compliance

IPO

Cryptocurrency

Equities

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Specialist D01 Cecil • D01 Cecil, Marina, People’s Park, Raffles Place, SG

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