Compliance Officer

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 a 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.

Job Summary:

The Compliance 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.

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.

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