|Position||:||Senior Associate, Member Supervision|
|Business / Support Unit||:||RegCo|
- 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.
- 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.
- 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.
- 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.