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Job Info
Position : Senior Associate, Member Supervision
Business / Support Unit : RegCo
Function : Member Supervision
Reference No. : SGX/REGCO/MSUP
Job Description

Key Accountabilities: 

  • Review individual and corporate membership applications
  • Conduct on-site inspections to monitor Member’s compliance with SGX Rules and adequacy of internal control systems
  • Review and evaluate internal control and supervisory reports to identify any internal control weaknesses, rule breaches, and issues that may lead to potential systemic weakness within the Member.
  • Assess the accuracy and appropriateness of a Member’s treatment of financial assets and transactions under current accounting standards and RBC rules
  • Identify, and propose solutions for any member supervision issues for business initiatives/ proposals by Members, or internal stakeholders.
  • Advise Members on rule interpretations and queries relating to Member Supervision issues
  • Handle complaints against Members and representatives.

 

Position Deliverables: 

  • Ensure only applicants who meet admission/registration criteria are approved.
  • Improve work processes, and enhance member supervision policies, rules and requirements.
  • Acquire in-depth understanding of Member’s business activities and operations, so as to effectively carry out the above member supervision responsibilities.

 

Job Requirements
  • Degree in Accountancy, Business, Finance or Banking with at least 3 years of relevant experience in the securities and futures industries.
  • Knowledge of Securities and Futures Act and Regulations as well as SGX Trading and Clearing Rules, and industry practices.
  • Strong communication and inter-personal skills.
  • Analytical, with problem solving and preferably project management skills.
  • Keen interest to learn and understand the securities and futures markets 
  • Perform key accountabilities independently with minimal supervision.

 

Essential Attributes

  • Driven, and Good team player
  • Exercise initiative, and willingness to take on assignment/tasks and new opportunities to broaden exposure and experience
  • Interest in data analytics or technological audit will have added advantage.