Associate or Senior Associate, Regulatory Compliance

Senior Associate / Assistant Manager(Regulatory Compliance)

Career Level: Senior Associate / Assistant Manager

Qualification: Bachelor's Degree

Job Responsibilities:

• Advise a portfolio of financial services clients on their obligations under the SFA, FAA and related MAS Notices and Guidelines
• Respond to client compliance queries accurately and promptly, providing clear and practical guidance
• Prepare and submit regulatory filings, notifications and periodic returns on behalf of clients
• Develop and review regulatory governance frameworks, registers, policies and procedures for financial institutions
• Conduct reviews of business processes and internal controls to identify regulatory gaps and assess compliance risks.
• Liaise and correspond with regulatory authorities, external auditors and other stakeholders in support of clients
• Monitor regulatory developments and assess their impact on clients businesses and compliance frameworks
• Perform ad-hoc projects, including but not limited to regulatory mock inspections, AML/CFT due diligence reviews
• Assist with other ad-hoc duties as required 

 Skills & Requirements

• Bachelor's degree in accounting/finance, business, legal or a related field
• At least three to five years relevant professional experience; appointment level will be commensurate with experience
• Experience in regulatory compliance with consultancy firms, financial institutions or MAS will be an added advantage
• Familiarity with compliance policies, procedures and frameworks beyond AML/CFT, such as licensing and conduct of business, conflicts of interest, outsourcing, business continuity, technology risk management and regulatory reporting. Candidates whose experience is limited to AML/CFT may not be suitable.
• Knowledge of local MAS regulatory requirements for capital markets entities
• Proficiency in English (written and spoken)
• Well organised and able to manage multiple client matters under prescribed deadlines
• A proactive and collaborative team player who thrives in a fast-paced, client-centric environment.
• Immediate or short notice is preferred