Compliance Officer
Our client operates within a dynamic and regulated environment that values integrity, professionalism, and expertise. This role involves leading the compliance function to ensure adherence to regulatory standards, overseeing trading surveillance, and managing AML/CFT and KYC processes. The Compliance Officer will serve as a critical link between the organisation and regulatory authorities, supporting regional expansion efforts and maintaining governance standards. This position is essential for safeguarding the company's reputation and ensuring smooth operational compliance within a collaborative and focused team.
Role Overview:
The Compliance Officer is responsible for managing the company’s compliance framework, including regulatory oversight, surveillance systems, and cross-border coordination. The role supports the organisation's commitment to maintaining high standards of regulatory adherence and risk management across multiple jurisdictions.
Key Skills & Experience:
• Minimum of 7 years of compliance experience, with at least 3+ years at a MAS-licensed fund management company (LFMC preferred)
• Strong knowledge of SFA, MAS LFMC guidelines, AML/CFT notices, and market conduct standards
• Proven experience handling MAS inspections, audits, and inquiries independently
• Eligible to serve as MAS-designated compliance function head (fit and proper requirements)
• Professional proficiency in English; Mandarin preferred due to regional operating environment
• Bachelor’s degree in Law, Finance, Risk, or related discipline
Key Responsibilities:
• Serve as the designated compliance function head under MAS licensing requirements
• Lead development and maintenance of compliance policies, procedures, monitoring, and training programs
• Manage inspections, filings, and regulatory correspondence with MAS as the organisation’s liaison
• Review and approve new activities, products, and markets from a compliance perspective
• Design and operate trading surveillance systems to detect market abuse, spoofing, front-running, and MNPI risks
• Administer personal account dealing and MNPI control frameworks for staff, including Singapore-based and remote-access teams
• Collaborate with risk and trading teams on pre- and post-trade monitoring and control enhancements
• Oversee the Singapore AML/CFT framework, supervise onboarding, due diligence, and sanctions screening processes
• Act as AMLCO and/or MLRO, ensuring governance, escalation, and reporting are maintained
• Coordinate with compliance teams across Hong Kong, the US, and Mainland China on cross-border and personnel matters
• Support regional and global regulatory expansion efforts (e.g., SFC, SEC, FCA regimes)
• Report periodically to senior management and the board on compliance status, incidents, and regulatory developments
• Contribute to internal and external audits, investor due diligence reviews, and maintain documentation in line with MAS standards
Requirements:
• Right to work in Singapore or willingness to relocate with work authorization
• Working environment is onsite
• Employment is permanent within the Asia region
• Must be able to work in a location requiring onsite presence
• Monthly salary expectations aligned with the role (note: pay rate details are not specified)
• Skills required include YSW 2012 (ID=1034439)
Interested candidates are encouraged to apply to support our client’s compliance leadership team.
