Compliance Generalist, Brokerage and Digital Asset

We are a Singapore-licensed broker-dealer offering regulated capital market services and digital asset products to accredited and institutional clients. We are seeking a highly motivated team player to support the firm’s onboarding and general compliance tasks in fast paced work environment. This role is pivotal in ensuring our compliance with MAS regulations across both capital market and digital asset related activities.

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.

Qualifications & 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.

Why Join Us

• Join a regulated, high-growth firm at the forefront of digital asset and capital market innovation.
• Work closely with senior leadership and shape the compliance and onboarding framework of a next-generation broker-dealer.
• Gain exposure to institutional clients and cutting-edge developments in the digital assets and financial markets space.

Please contact Shingo or email your cv directly in word format to [Confidential Information]

Please note that due to the high number of applications only shortlisted candidates will be contacted. We regret to inform you that your application for this position was unsuccessful if you do not hear from us in the next 5 business days.

EA Licence: 16S8131

Recruiter Licence: R1545180