Our client is a Singapore-based investment management firm with a strong track record in fundamental investing. The firm focuses on mid-to small-cap opportunities across multiple sectors, managing a diversified and high-volume portfolio. With a disciplined investment approach and growing presence, they are seeking a meticulous and driven Compliance Officer to strengthen their regulatory and operational compliance framework.
Key Responsibilities
Regulatory Compliance & MAS Liaison
• Ensure full compliance with MAS regulations, including the Securities and Futures Act (SFA) and relevant guidelines
• Act as a key point of contact for regulatory matters, including liaising with MAS where required
• Monitor and interpret regulatory developments, advising management on implications and necessary actions
Legal & Contractual Compliance
• Liaise with internal and external legal counterparts on regulatory and contractual matters
• Review, interpret, and provide input on fund documentation, agreements, and legal contracts to ensure compliance with applicable regulations
• Ensure contractual obligations and documentation standards align with regulatory expectations and internal policies
Investor Onboarding & KYC/AML
• Oversee end-to-end investor onboarding processes in line with AML/CFT requirements
• Conduct KYC due diligence and ongoing monitoring of investor profiles
• Maintain robust documentation standards in compliance with internal policies and regulatory expectations
Counterparty & Trading Compliance
• Monitor trading activities to ensure adherence to internal policies and regulatory requirements
• Perform due diligence and onboarding of counterparties, ensuring proper documentation and compliance checks
• Partner closely with trading and operations teams to uphold compliance standards across execution activities
Fund Operations Collaboration
• Work closely with fund operations on trade lifecycle processes, settlements, reconciliations, and reporting workflows
• Provide compliance oversight across NAV processes, cash management, and operational controls
• Identify gaps between operational workflows and compliance requirements, and recommend improvements
Risk & Compliance Framework
• Support the development, implementation, and continuous enhancement of compliance and risk management frameworks
• Conduct periodic compliance reviews, internal audits, and risk assessments
• Identify regulatory and operational risks, and implement appropriate mitigation measures
Internal Controls & Ethics
• Strengthen internal controls and governance practices across the organisation
• Promote a strong culture of compliance, ethics, and accountability
• Support investigations and manage any compliance-related incidents or breaches
Key Requirements
• Minimum 3 years of compliance experience within the financial services industry in Singapore
• Strong working knowledge of MAS regulations, particularly SFA and AML/CFT requirements
• Prior experience in asset management, hedge funds, or fund management environments is preferred
• Exposure to fund operations or middle-office processes will be advantageous
• Familiarity with equities markets and trading practices is a plus
• Ability to engage effectively with legal stakeholders, including reviewing and interpreting legal documents, agreements, and regulatory frameworks
• Proactive mindset in understanding and keeping up with regulatory requirements across different markets and jurisdictions, especially in a cross-border investment context
• Strong analytical thinking with high attention to detail and a structured approach to problem-solving
• Ability to work independently while collaborating effectively with investment, operations, and external stakeholders
• Adaptable and willing to take on broader responsibilities in a fast-paced environment
• Proficiency in Excel is required; experience with Bloomberg or quantitative tools is a plus
Candidates with relevant experiences with short notice and immediate availability will be taken into priority considerations.
How to Apply
Simply submit your application by emailing your updated résumé (in MS Word format) to Wills Heng Wei He (EA Personnel Registration No: R1549842) at
wills.heng@path-source.com
For immediate consideration, please include:
• Current and expected salary
• Reason(s) for leaving
• Availability to commence work
By submitting your application, you consent to the collection, use, and disclosure of your personal data to prospective employers for the purpose of job placement in accordance with applicable data protection regulations.
