Senior Compliance Officer
Role Summary
The Compliance Officer will be responsible for theday-to-day implementation and oversight of the compliance framework of aSingapore-licensed LFMC, ensuring compliance with the Securities and FuturesAct (SFA) and applicable MAS Notices, Guidelines, and Circulars, as wellas supporting the firm’s risk management framework.
The role requires a hands-on compliance professional withpractical experience in fund management operations and regulatory compliance.
Key Responsibilities
- Regulatory Compliance & Advisory
• Implement and maintain the LFMC’s compliance framework inaccordance with applicable Singapore regulations, including SFA, MAS Notices,Guidelines, and Circulars applicable to LFMCs.
• Provide practical, business-oriented compliance advice toinvestment, operations, and management teams on fund management activities,including marketing and distribution arrangements, conflicts of interest andpersonal account dealing.
• Act as a key point of contact for routine MASinteractions, regulatory filings, and ad-hoc queries.
- Policies, Procedures & Controls
• Draft, review, and update internal compliance policies andprocedures, including the compliance manual, risk management framework, AML/CFTpolicies etc.
• Support the implementation and operation of the firm’srisk management framework in accordance with MAS expectations.
• Ensure policies are operationally embedded and alignedwith actual business practices.
- Monitoring, Reviews & Reporting
• Conduct periodic compliance monitoring and testing,including personal account dealing checks, review of marketing materials anddisclosures, and outsourcing and service provider oversight.
• Support AML/CFT controls, including CDD oversight,sanctions screening, and STR escalation processes.
• Maintain risk registers and support periodic riskassessments and reviews.
• Prepare compliance reports for senior management.
- Training and Knowhows
• Deliver compliance training to staff on regulatoryobligations and internal policies and conduct standards.
• Monitor regulatory developments issued by MAS and assesstheir impact on the firm.
• Assist in implementing regulatory changes in a timely andproportionate manner.
Key Requirements
• 5–8 years of relevant compliance experience in Singapore
• Strong knowledge of SFA and MAS Notices applicable toLFMCs, and AML/CFT requirements in Singapore
• Exposure to risk management frameworks and risk reportingwithin a regulated financial institution would be a plus
• Bachelor’s degree in law, Business, Finance, or a relateddiscipline
Skills & Attributes
• Practical, detail-oriented, and able to work independently
• Comfortable dealing with day-to-day compliance matters
• Strong written and verbal communication skills. Businessproficiency in Mandarin is preferred as this role will engage with stakeholderswhose usual business language is Mandarin
• Able to interact confidently with business teams andexternal stakeholders
• Good judgment, integrity, and a solutions-oriented mindset
