CGS-CIMB Securities – Intern, Compliance

Job Responsibilities
The incumbent will be responsible to:

• To obtain new employee’s acknowledgment to the company’s policies and procedures and to keep track of new and existing external trading account(s) (i.e. informing new joiners to close their external trading account(s), if any.
• To conduct compliance monitoring/surveillance on dealing in securities.
• To monitor, analyse and provide regulatory advice on changes in regulations and support to business in relation to Securities and Futures Act/Regulations and SGX-ST Rules.
• To communicate with relevant personnel or department whenever required (e.g. informing and providing Compliance Officer with the applicable/updated regulations to be used in the Compliance matrix and guiding compliance officers to conduct proper self-testing).

Job Requirements
To thrive and be successful in this role, the incumbent should have / be:

• To be aware of the primary regulatory body and frontline regulator (i.e. SGX) that are governing Singapore’s financial industry.
• To possess positive working attitudes and be able to contribute to the team and organization.
• To acquire the ability to work both independently and effectively as a team.