• Compliance Officer

    Location SG-Singapore
    Date posted 2 months ago(6/5/2018 5:01 AM)
    Corporate professionals
    Position type

    ITG is looking for an enthusiastic, motivated Compliance Officer to join our Compliance team.


    Investors around the world receive better returns because of the work we do every day. From traders to technologists and everyone in between, ITGers are passionate about innovating, solving problems and making an impact on the bottom line. Our teams set the bar high and strive to consistently provide best-in-class service to institutional investors around the world.


    • Manage the day to day running of Compliance for an execution only broker (no retail clients).
    • Prepare account opening for local brokers, custodian / settlement agents or for other trading and settlement related counterparties.  This will be co-ordinated with other members of the ITG Asia Pacific Compliance Team.
    • Provide staff with up to date training in respect of latest developments in the rules and regulations and other important matters. 
    • Assist in developing internal controls and policies to identify, control, measure, monitor and mitigate risks that are incurred in the business.  
    • Assist in identifying and measuring the risks faced by the firm.
    • Conduct MAS licensing compliance and ACRA filings – apply for licenses for colleagues, submit annual return, arrange and organize CPT, qualification / exams … etc
    • Oversee Staff Trading – authorization and procedure
    • Liaise with Compliance Departments in Asia Pacific with respect to policies and procedures and the implementation of such policies and procedures.
    • Conduct internal audits and reviews and assist external auditors.
    • Assist in updating Compliance Manual, policies and Sarbanes Oxley documents
    • Account opening procedures and managing of contracts and client agreements.
    • Conduct anti-money laundering reviews and controls (including Know Your Client review, identifying suspicious transactions or activities).
    • Review soft dollar requests (i.e. soft dollar commission, client authorization, invoices, vendors and payments etc) and commission sharing arrangements.
    • Inform colleagues on regulator’s circulars / seminars
    • Develop internal controls and policies to identify, control, measure, monitor and mitigate risks associated with the business.
    • Working with middle office and IT to ensure that we comply with record keeping requirements.  
    • Respond to and report on regulator’s surveillance queries (ad hoc / upon request).
    • Review and control records on gifts, benefits, entertainment (if applicable)
    • Review and record complaints received.
    • Conduct every day office jobs such as sending couriers, filing documents etc and assist the Singapore CEO.


    • Degree in Law or a business related discipline (e.g. Accounting or Finance) is preferable.
    • Minimum 2 years of relevant experience with brokerage houses, investment banks or regulatory bodies in Compliance.
    • Knowledge of MAS licensing regulations and SGX trading rules.
    • Proactive, independent and attentive to detail.


    • Able to manage work load and responsibilities independently in a small office.  
    • Have the ability to grow with the office.
    • Work closely with the ITG Asia Pacific Compliance team which comprises 5 other members.  Two located in Melbourne, Australia and three located in Hong Kong. 
    • Work on regional and global Compliance projects. 
    • A great place for upward and geographic mobility
    • Direct exposure to the decision makers and senior leaders on all sides of the business
    • The energetic dynamism of financial markets
    • Teams that are passionate about continually learning, improving and raising the bar
    • A community that values hard work as well as work-life balance
    • A company that is committed to giving back to surrounding communities, from LA to Hong Kong and Sydney and the 11 locations in between


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