Job Responsibilities
- Manage and service a portfolio of clients, acting as a trusted compliance adviser
- Advise clients on MAS regulatory requirements, including the Securities and Futures Act (SFA), Financial Advisers Act (FAA), Payment Services Act (PSA), and relevant MAS notices and guidelines
- Assist clients with licensing applications for CMS licences under the SFA and licences under the PSA
- Develop, review, and update compliance policies and procedures, including but not limited to:
- Compliance Manuals
- Risk Management Frameworks
- AML/CFT Policies and Procedures
- Outsourcing Policies
- Technology Risk Management
- Individual Accountability & Conduct frameworks
- Support clients in preparing and submitting regulatory filings, approvals, and notifications to MAS
- Monitor regulatory developments and translate changes into actionable updates for client policies and practices
- Conduct compliance reviews, gap assessments, mock regulatory inspections, and internal audits
- Perform AML/CFT work including customer due diligence, screening, and risk assessments
- Deliver engaging compliance and AML/CFT training sessions for clients and internal teams
- Develop and maintain strong relationships with clients, regulators, and stakeholders
- Collaborate on business development initiatives and contribute to the firm's growth
- Perform other ad-hoc compliance and regulatory projects as required
Qualifications & Requirements
- Bachelor's Degree in Business, Accounting, Law, Finance, or related fields
- Minimum 2-4 years of experience in regulatory compliance, preferably in consultancy, financial institutions, or regulatory bodies (e.g. MAS, fund managers, CMS licence holders)
- Strong knowledge of the SFA, FAA, PSA, and MAS regulatory framework and guidelines applicable to financial services entities
- Experience in licensing processes for CMS licence or PSA licence applications is an advantage
- Highly organised, meticulous, and able to manage multiple projects simultaneously
- Strong analytical, problem-solving, and critical-thinking skills
- Excellent verbal and written communication skills, with the ability to present complex regulatory information clearly
- Self-motivated and able to work independently, while also being an effective team player
- Enthusiasm to contribute to business development and client relationship management initiatives
- Candidates with less experience may be considered for an Associate role
