Compliance

• Identify and capture sales opportunities with existing or new customers and assist and guide customers in their purchases.
• Take customers through the audit process, including audit notification, deployment-data collection, audit-analysis presentation to key stakeholders, escalation, negotiation, and closure of the commercial resolution.
• Acquire product, license-agreement, and contract knowledge to understand customer needs across products and regions.
• Drive direct deal closures when customers understand how outstanding compliance exposure can be invested in new products.
• Collaborate with internal and external stakeholders to transition companies from non-compliance into compliance.
• Use Salesforce.com to track leads, opportunities, activities, and results.
• Drive, develop, execute, and monitor various License Compliance campaigns.
• Work with Legal, Channel, and other sales teams to maximize revenue opportunities within License Compliance engagements.
• Act as a brand ambassador in a customer-facing role.
• Perform other duties assigned by management and support the effective implementation, maintenance, and continual improvement of TDCX’s Quality Management System.

License Compliance Associate, English

• Manage Legal, Regulatory and Reputational Risk across all lines of business
• Manage Market Abuse and potential Conflicts of Interest through Information Barriers and Regulatory Insider Lists
• Operate and maintain Watch Lists and Restricted Lists
• Evaluate controls related to banking activities, Information Barrier Controls, and the flow of MNPI
• Trigger downstream controls within Monitoring and Surveillance
• Implement Research Conflicts Clearance under US Securities law requirements
• Monitor and evaluate risks arising from business activities, regulatory changes, and internal control requirements
• Investigate and analyze reported control breaches, identify root causes, and determine impact on the bank
• Implement corrective actions and strengthen internal control frameworks
• Maintain documentation of control room activities, risk assessments, investigations, and corrective actions
• Develop and implement procedures for information-barrier incidents and potential breaches
• Maintain records of Inside Information, Watch Lists, Restricted Lists, and Wall Crossings
• Support APAC Private Side & Research Compliance and Business Oversight Compliance work
• Review issues involving Investment Banking and Research businesses
• Conduct verification checks, training, and risk assessments
• Advise on and provide check and challenge of business initiatives
• Advise and influence decision-making and contribute to policy development
• Collaborate with business divisions and other functions
• Lead complex assignments or a team, set objectives, coach employees, and appraise performance where applicable
• Consult on complex issues and advise People Leaders on escalated issues
• Identify risk mitigation opportunities and develop policies and procedures
• Manage risk and strengthen controls
• Analyze data from multiple internal and external sources to solve problems
• Communicate complex and sensitive information and influence stakeholders to achieve outcomes

Compliance Control Room Specialist – AVP

• Provide operational advisory on high-risk clients during onboarding, periodic reviews, and trigger events
• Deliver justified opinions and recommendations
• Investigate alerts reported to Compliance
• Draft STRs and ensure the riskiest clients are monitored appropriately
• Develop and update the local compliance framework, including policies, procedures, and operating memos
• Provide timely and precise advice to internal teams on procedural applications
• Contribute to AML-CTF risk classification updates and assessment of new products and activities
• Contribute to external regulatory reports and internal reports for Senior Management
• Draft training materials and presentations and run training sessions
• Perform regulatory watch and gap analysis between applicable regulations, sanctions, and the current framework
• Propose compliance framework enhancements
• Serve or participate as a subject matter expert in Group and APAC Compliance projects

Senior Analyst, Compliance Advisory

• Identify and capture sales opportunities with existing or new customers and assist and guide customers in their purchases.
• Take customers through the audit process, from C-level audit notification through deployment-data collection, audit-result presentation, escalation, negotiation, and commercial resolution closure.
• Acquire product, license agreement, and contract knowledge to understand customer needs across products and regions and apply effective responses and solutions.
• Drive direct deal closures where customers understand outstanding compliance exposure can be invested in new product.
• Collaborate with internal and external stakeholders to transition companies from non-compliance into compliance.
• Use Salesforce.com to track leads, opportunities, activities, and results.
• Drive, develop, execute, and monitor License Compliance campaigns.
• Work with Legal, Channel, and other sales teams to maximize revenue opportunities within License Compliance engagements.
• Act as a brand ambassador in a customer-facing role.
• Perform other duties assigned by management and support the effective implementation, maintenance, and continual improvement of TDCX’s Quality Management System.

License Compliance Associate, Turkish

• Complete EDD reviews for high risk customers
• Assess high-risk customer transaction activity to ensure it is commensurate with the nature of the business
• Conduct risk assessments on new and existing customers
• Lead projects related to EDD enhancements
• Remain current on global EDD standards such as FATF and local requirements in operating regions
• Provide AML/CFT subject matter expertise
• Manage high risk customer escalations from the first line of defence and other business units
• Draft policies, programs, procedures, guidance documents, training materials, and impact assessment/analysis documentation
• Train other employees

Compliance Analyst, KYB Enhanced Due Diligence

• Provide crucial support to the Compliance Department and the Director of the company
• Ensure all corporate entities remain legally compliant
• Handle corporate secretarial and compliance matters, including the full-process operations of company registration, modification, and deregistration
• Liaise with banks, tax authorities, and administration for industry and commerce regarding account opening, tax registration, annual inspections, filings, and related matters
• Organize, archive, and update company licenses, seals, contracts, and compliance documents
• Follow up on daily compliance risk alerts, records, and improvement recommendations
• Assist in formulating, optimizing, and implementing administrative compliance-related processes and systems

Compliance jobs in Singapore

License Compliance Associate, English

Compliance Control Room Specialist – AVP

Senior Analyst, Compliance Advisory

License Compliance Associate, Turkish

Compliance Analyst, KYB Enhanced Due Diligence

Compliance Administrator, Chinese Speaker