Compliance Generalist, Brokerage and Digital Asset

Key responsibilities

Client Onboarding and Ongoing CDD (AML/CFT, KYC, CDD)

• Complete client onboarding lifecycle for individuals, corporates, and institutional clients, including screening, ML/TF risk assessment, and documentation review.
• Perform customer due diligence (CDD) and enhanced due diligence (EDD) in accordance with MAS Notice SFA04-N02, PSN02, supporting guidelines, and internal AML/CFT policies.
• Review and validate source of wealth and source of funds documentation, and assess results from screening tools such as WorldCheck. Familiarity with blockchain analytics tool (e.g., Elliptic) is a plus.
• Ensure timely onboarding and risk assessment decisions, including escalation and documentation for high-risk or complex client cases to MLRO.
• Maintain and update client KYC files and perform periodic reviews (ODD). Familiarity in handling HNWI onboarding cases (SOW/SOF corroboration).
• Transaction monitoring and trade surveillance.

Compliance Oversight

• Assist CCO in monitoring adherence to MAS regulatory requirements under the Securities and Futures Act (SFA) and Payment Services Act (PSA).
• Support the preparation of regulatory submissions, including suspicious transaction reports (STRs), periodic regulatory returns, and MAS notifications.
• Maintain compliance registers (e.g., breaches, complaints, incidents) and internal audit trail of compliance decisions.
• Coordinate with business units and legal counsels to ensure alignment of compliance and onboarding frameworks with operational activities.
• Experience in performing compliance testing
• Review and update policies and procedures
• Able to perform gap analysis and impact assessment
• Support MLRO in the Enterprise-Wide Risk Assessment (EWRA) and other governance documentation (e.g., Compliance Manual).
• Conduct compliance training session(s), onboarding best practices, and regulatory updates.
• Audit coordination.

Role requirements

• Bachelor's degree in Law, Finance, Business, or related field.
• 3-6 years of experience in compliance, AML/KYC, or onboarding roles within a regulated broker-dealer, or fintech in Singapore.
• In-depth understanding of MAS Notices and Guidelines on AML/CFT (e.g., SFA04-N02, PSN01).
• Strong familiarity with capital markets products. Have some experience in digital assets would be a plus.
• Proficiency with KYC tools and systems (e.g., Refinitiv WorldCheck, Elliptic, etc).
• Possesses strong analytical abilities, keen attention to detail, and sound independent judgment.
• Demonstrates excellent communication and interpersonal skills approachable and effective in stakeholder engagement and project coordination across departments. Articulate in written communication, highly collaborative, a strong team player, and thrives in dynamic, fast-paced start-up environments.
• Eager to learn new skills and absorb information quickly demonstrates a proactive attitude toward personal and professional development.
• Brings a proactive, get-it-done attitude with a strong sense of ownership and accountability to drive tasks to completion.