The Role

My client is a global Wealth and Securities firm and we are looking for a Regulatory Compliance expert in the Singapore office. You will be the subject matter expert of the compliance function and will act as a key partner to the business on regulatory, risk, and governance matters.

Responsibilities

• Oversee day-to-day compliance operations, including monitoring activities and regulatory obligations
• Maintain and enhance compliance policies, procedures, and internal controls in line with MAS expectations
• Act as the key compliance authority for client onboarding, reviewing KYC/AML documentation and higher-risk cases
• Conduct enhanced due diligence and ensure ongoing client reviews are performed in accordance with internal policies
• Identify and assess compliance and operational risks, and implement appropriate mitigation measures
• Monitor adherence to investment mandates, limits, and regulatory restrictions
• Serve as the primary point of contact for regulators, including handling inspections and regulatory queries
• Prepare regular compliance reports for senior management and the board
• Support internal and external audits, investigations, and remediation initiatives
• Deliver compliance training and provide ongoing advisory support to business teams

Requirements

• Bachelor’s degree in Finance, Business, Law, or a related discipline
• Approximately 5+ years of compliance experience within Banking, Wealth, and CMS licensed firm
• Strong working knowledge of Singapore regulatory requirements under the SFA/FAA framework
• Proven experience managing regulatory engagement and inspections
• Strong communication skills and ability to work closely with senior stakeholders

WT
EA Personnel No R1985201
BeathChapman Pte Ltd
Licence No 16S8112