Role Summary

The Compliance Officer will be responsible for the day-to-day implementation and oversight of the compliance framework of a Singapore-licensed LFMC, ensuring compliance with the Securities and Futures Act (SFA) and applicable MAS Notices, Guidelines, and Circulars, as well as supporting the firm's risk management framework.

The role requires a hands-on compliance professional with practical experience in fund management operations and regulatory compliance.

Key Responsibilities

1. RegulatoryCompliance & Advisory

• \tImplement and maintain the LFMC's compliance framework in accordance with applicable Singapore regulations, including SFA, MAS Notices, Guidelines, and Circulars applicable to LFMCs.

• \tProvide practical, business-oriented compliance advice to investment, operations, and management teams on fund management activities, including marketing and distribution arrangements, conflicts of interest and personal account dealing.

• \tAct as a key point of contact for routine MAS interactions, regulatory filings, and ad-hoc queries.

2. Policies, Procedures & Controls

• \tDraft, review, and update internal compliance policies and procedures, including the compliance manual, risk management framework, AML/CFT policies etc.

• \tSupport the implementation and operation of the firm's risk management framework in accordance with MAS expectations.

• \tEnsure policies are operationally embedded and aligned with actual business practices.

3. Monitoring, Reviews & Reporting

• • \tConduct periodic compliance monitoring and testing, including personal account dealing checks, review of marketing materials and disclosures, and outsourcing and service provider oversight.

• \tSupport AML/CFT controls, including CDD oversight, sanctions screening, and STR escalation processes.

• \tMaintain risk registers and support periodic risk assessments and reviews.

• \tPrepare compliance reports for senior management.

4. Training and Knowhows

• \tDeliver compliance training to staff on regulatory obligations and internal policies and conduct standards.

• \tMonitor regulatory developments issued by MAS and assess their impact on the firm.

• \tAssist in implementing regulatory changes in a timely and proportionate manner.

Key Requirements

• \t3-6 years of relevant compliance experience in Singapore

• \tStrong knowledge of SFA and MAS Notices applicable to LFMCs, and AML/CFT requirements in Singapore

• \tExposure to risk management frameworks and risk reporting within a regulated financial institution would be a plus

• \tBachelor's degree in Law, Business, Finance, or a related discipline

Skills & Attributes

• \tPractical, detail-oriented, and able to work independently

• \tComfortable dealing with day-to-day compliance matters

• \tStrong written and verbal communication skills. Business proficiency in Mandarin is preferred as this role will engage with stakeholders whose usual business language is Mandarin

• \tAble to interact confidently with business teams and external stakeholders

• \tGood judgment, integrity, and a solutions-oriented mindset