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

1. 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.

1. 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.

1. 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.

1. 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