Our client a leading global asset management firm is seeking a seasoned compliance professional to join their Singapore office as Deputy Head of Compliance. In this critical role, you will oversee day-to-day compliance operations, provide strategic regulatory guidance to business units, and collaborate across jurisdictions to ensure adherence to evolving regulatory requirements and internal governance standards. You will also play a key role in developing and implementing compliance monitoring programs, liaising with regulators, supporting audits, and driving initiatives that strengthen the compliance culture across the organization.
Key Responsibilities:
- Monitor and stay current with applicable laws, regulations, and internal policies impacting the Singapore office.
- Provide timely and practical compliance advice to business units, raising awareness of regulatory obligations and internal policies.
- Collaborate across functions and jurisdictions to identify and address compliance risks in new initiatives and projects.
- Oversee daily compliance operations, including licensing, regulatory filings, and intra-group reporting across multiple jurisdictions.
- Develop and implement compliance monitoring programs, conducting reviews and checks on business processes (e.g., trade surveillance, AML, sanctions, conflicts of interest, personal account dealing, regulatory reporting, marketing material reviews).
- Draft, update, maintain, and roll out company policies and procedures.
- Design and deliver training programs on laws, regulations, codes of ethics, AML requirements, and induction training for new staff.
- Act as the primary contact with regulators on compliance matters.
- Support client due diligence reviews, focusing on compliance-related aspects.
- Assist with internal and external audits, as well as regulatory inspections.
- Prepare and submit timely compliance reports to Group Compliance and senior management.
- Manage ad-hoc compliance projects and other related matters as required.
Qualifications:
- Bachelor's degree in Law, Finance, Business, or a related discipline; professional compliance or regulatory certifications (e.g., ICA, CAMS) are an advantage.
- Minimum 810 years of compliance experience within financial services, preferably in asset management or banking.
- In-depth knowledge of Singapore regulatory frameworks (MAS regulations, AML/CFT requirements, securities laws) and familiarity with international compliance standards.
- Proven track record in managing compliance operations, regulatory reporting, and policy development.
- Strong expertise in compliance monitoring, trade surveillance, AML, sanctions, conflicts of interest, and marketing material review.
- Excellent communication and advisory skills, with the ability to provide clear guidance to business units and senior management.
- Experience liaising with regulators and handling audits/inspections.
- Strong leadership and collaboration skills, with the ability to work effectively across functions and jurisdictions.
- High level of integrity, attention to detail, and ability to manage multiple priorities under tight deadlines.
- Proficiency in drafting policies, conducting training, and promoting compliance awareness across the organization.
