Wealth Management Business Compliance Manager
GUOTAI JUNAN INTERNATIONAL SECURITIES (SINGAPORE) PTE. LIMITED
Key Responsibilities
Client Due Diligence & Onboarding
Ongoing Client Lifecycle & Monitoring
Policy Governance & Control Implementation
Communication & Coordination
External Audit & Regulatory Interface
Other Responsibilities
Qualifications & Requirements
Client Due Diligence & Onboarding
- Perform first-line review of client onboarding files submitted by RMs, including:
- KYC information
- AML/CFT due diligence
- Source of Wealth (SOW) & Source of Funds (SOF) verification
- Corroboration and documentation checks
- Ensure adherence to internal policies and MAS regulatory requirements prior to account approval
- Support review and escalation of high-risk clients, PEPs, complex structures
Ongoing Client Lifecycle & Monitoring
- Conduct periodic reviews (PR/DD) and trigger-event reviews
- Review client activity alerts, transactional patterns, and screening hits
- Assist in timely resolution and documentation of compliance issues
Policy Governance & Control Implementation
- Support development, enhancement, and implementation of WM compliance procedures
- Assist in drafting / updating SOPs, workflows, and onboarding governance frameworks
- Ensure consistency with group policies while meeting local regulatory standards
Communication & Coordination
- Serve as primary compliance liaison for the Wealth Management front office
- Coordinate with internal stakeholders, including Compliance, Operations, Legal, and Risk
- Provide advisory support to RMs on onboarding requirements and compliance documentation
- Assist in training front-office teams on AML/KYC standards and new regulatory developments
External Audit & Regulatory Interface
- Support preparation of materials for MAS reviews, regulatory queries, and internal audits
- Ensure accurate reporting and timely submission of required information
Other Responsibilities
- Support Head of Wealth Management on compliance-related initiatives and remediation work
- Contribute to continuous improvement of WM governance and control framework
- Perform other duties assigned in support of business and regulatory readiness
Qualifications & Requirements
- Bachelor's degree in Finance, Law, Business, or related field
- Minimum 5+ years experience in KYC/AML/compliance, preferably in private banking or wealth management
- Solid understanding of MAS AML/CFT regulations, customer due diligence standards, and wealth management products
- Prior exposure to SOW/SOF corroboration, periodic review processes, and PEP/high-risk client handling
- Strong communication and stakeholder management skills, especially with client-facing teams
- Detail-oriented, hands-on, proactive, and comfortable working in a build-out environment
- Ability to work independently while coordinating across multiple functions
JOB SUMMARY
Wealth Management Business Compliance Manager
GUOTAI JUNAN INTERNATIONAL SECURITIES (SINGAPORE) PTE. LIMITED
Singapore
5 days ago
N/A
Full-time
Wealth Management Business Compliance Manager