JOB DESCRIPTION: ASSISTANT COMPLIANCE OFFICER

We are a well-established Wealth Advisory and Asset Management Firm in Asia Pacific.

We are looking for a proactive and detail-driven Compliance Assistant to support our compliance and operations functions in a fast-paced environment. You will play a key role in ensuring compliance with MAS regulations and company policies, while working closely with cross-functional teams for direct hands-on execution of operational and compliance deliverables. The role offers the opportunity for growth and self-development within a rapidly growing business environment.

Key Responsibilities

Operations

Business Tie Ups and Relationships

• Facilitate the operational setup for new partnerships

• Assist in engaging with our third party partner arrangements (such as Fund Managers, Banks, etc.) towards ensuring the extension of holistic solutions to meet our Clients' wealth management needs

• Assist in tie up of relationships with business partners including but not limited to coordination for due diligence, agreements and necessary set up

• Support the running of business development initiatives and projects such as maintaining a firm wide central pipeline, tracking adoption and efficacy of recommendations made by the Firm, assisting with the running of any key control checks specified for sales management

• Assist on periodic reviews of external partners

Fund Operations

• Manage the end-to-end setup of new Variable Capital Companies

• Support all ongoing fund operations

Operations support for Other Investments

• Lead and execute structuring and facilitation of investments and/or products including but not limited to private equity deals introduction

• Lead and support all ongoing work relating to structuring and facilitation of investments and/or products including but not limited to private equity deals

• Support all ongoing operations for other investments relating to private equity deals introduction

General and Ad-Hoc Support

• Provide support to Financial Advisors in all matters relating to clients and prospective clients ranging from client queries and any ad hoc requests.

• Liaise with Financial Advisors, Investment Counsellors, Operations Team, Clients, prospects, banks and other external service providers

Compliance

• Conduct thorough due diligence, KYC checks, and ongoing monitoring on new business tie-ups, partners, investors, clients, investees etc

• Review agreements and all related documents including but not limited to Non-Disclosure Agreements (NDAs), Collaboration Agreements etc as required

• Draft agreements, addendums, side letters, commitment letters etc as required for clients, business partners, employees etc

• Review new business initiatives to ensure adherence to compliance in all aspects including but not limited to relevant government regulations, CRS, FATCA, and other jurisdictional reporting requirements.

• Design and implement scalable SOPs, compliance procedures and protocols required for new business initiatives.

• Assist in policy reviews, process improvements, and the enhancement of internal controls across compliance and operations.

• Prepare and submit reports to relevant regulatory bodies as required - including but not limited to MAS filings, CISNet filings etc

• Support audit of group entities and funds

• Review and approve marketing decks, advertising materials, factsheets etc in accordance with MAS Guidelines and industry norms.

• Coordinate board meetings for group entities

• Conduct ongoing risk management assessment as required

• Conduct ongoing transactions monitoring - Monitor transactions, identify potential suspicious activities, and escalate when required.

• Conduct Outsourcing assessment on vendors and business partners as required

• Conduct and document continuity planning (BCP) and disaster recovery (DR) drills, implementing corrective measures

• Ensure compliance with industry security standards and regulatory expectations (MAS, FATF, PDPC)

• Stay updated on industry developments and best practices in compliance

What We're Looking For

• Strong familiarity with MAS regulations, VCC structures, and AML/CFT frameworks

• Ability to draft and/or review legal agreements and documents

• High standards of ethics and conduct; ensures confidentiality of Clients' assets & information

• Proven track record in compliance, fund operations and financial reporting systems.

• Strong knowledge of compliance frameworks and operational risk management.

• Ability to personally execute operational and compliance deliverables, not just oversee.

• Strong organisational skills with initiative while completing mission-critical tasks.

• Excellent problem-solving skills with resilience to manage escalations under pressure.

Why Join Us?

This is a unique opportunity to step into a hybrid operations + compliance support role where you get wide exposure and deliver directly on tasks that impact clients and the business.

If you aspire to grow and excel with a high growth firm, please forward us your CV to Recruitment@tauruswealth.com.sg. We regret that only shortlisted candidates will be notified.