Compliance Intern
We are seeking a motivated and detail-oriented Compliance Intern to support our compliance and regulatory functions. This internship provides hands-on exposure to regulatory requirements, internal controls, and risk management processes within the organization.
Key Responsibilities:
- Assist in reviewing and updating compliance policies and procedures
- Support monitoring of regulatory requirements and industry updates
- Conduct research on laws, regulations, and compliance best practices
- Perform representative licensing assessment
- Assist in compliance reviews (e.g. trade surveillance, AML) and regulatory requests
- Help maintain compliance documentation and records
- Support training and awareness initiatives on compliance topics
Requirements:
- Currently pursuing a degree in Law, Business, Finance, Accounting, or related field
- Strong interest in compliance, risk management, or regulatory affairs
- Good analytical and research skills
- Strong attention to detail and organizational skills
- Good communication and interpersonal abilities
- Proficiency in Microsoft Office (Excel, Word, PowerPoint)
- Basic understanding of compliance frameworks (e.g., MAS regulations, AML, KYC, PDPA, etc.)
- Prior internship or coursework in legal/compliance/risk is a plus
Company profile
KGI Securities
Effective 2nd October 2017, KGI Securities Co. Ltd. (Taiwan)’s operations in Singapore, namely KGI Securities (Singapore) Pte. Ltd. and KGI Futures (Singapore) Pte. Ltd. are amalgamated into a single entity with KGI Securities (Singapore) Pte. Ltd. as the operating entity. This amalgamation is an internal reorganization exercise. By operation of law, all the property, rights, privileges, liabilities and obligations of KGI Futures (Singapore) Pte. Ltd. will be automatically transferred to and vest in the amalgamated KGI Securities (Singapore) Pte. Ltd.
The amalgamation of our Singapore entities taps on the cooperative synergies of both companies and offer a one-stop service to our clients in Asia. The amalgamated KGI Securities (Singapore) Pte. Ltd. will no longer be just a single dimension equity brokerage house. Instead, it will evolve into a multi products and client centric solutions entity. Here we aim to serve Individuals, Financial Institutions & Corporates in the Region. The products and services we offer include dealing in securities (online and mobile trading), margin financing (local and foreign securities), futures, commodities, options, contract for differences, leveraged FX trading and fixed income. Furthermore, we also provide research services as well as custody services for securities trading.
We are a pioneer Securities & Derivatives, Trading and Clearing Member of Singapore Exchange as well as a pioneer member of ICE Futures Singapore & ICE Clear Singapore. We offer our valued clients round the clock (24 hour) single-touch point for multi-asset clients and 24 hour high-touch desk for global products. We are supported by our strong parentage - KGI Securities Co. Ltd., which is the second largest securities firm in Taiwan in terms of market share of the brokerage business and a wholly owned securities arm of TWSE-listed China Development Financial Holding Corporation.
KGI Securities (Singapore) Pte. Ltd. which is a holder of a Capital Markets Services Licence regulated by the Monetary Authority of Singapore (MAS) has expanded its regulated activities to include Leverage Foreign Exchange Trading. It is a member of SGX-ST Securities Trading, SGX-DT Derivatives Trading, SGX-DC Derivatives Clearing and CDP Securities Clearing. It is also a Member of ICE Futures Singapore and ICE Clear Singapore and an Associate Member of the Rubber Market of Tokyo Commodity Exchange.
KGI Securities (Singapore) is now a Pioneer Clearing Member of Asia Pacific Exchange (APEX), Singapore’s Third Derivatives Exchange.
Company information
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