About the Role
We are seeking an experienced Compliance Officer to oversee the regulatory compliance framework of a MAS-regulated capital markets services business focused on OTC derivatives and leveraged foreign exchange trading. You will be responsible for ensuring compliance with MAS regulations, managing regulatory engagement, and supporting a strong culture of governance, risk management, and compliance across the organisation.
Key Responsibilities
- Ensure ongoing compliance with the Securities and Futures Act (SFA), MAS Notices and Guidelines, AML/CFT regulations, and other applicable regulatory requirements.
- Develop and execute the compliance monitoring programme, including reviews relating to onboarding, marketing materials, trading conduct, disclosures, and conflicts management.
- Draft, review, and maintain compliance policies, procedures, and governance frameworks to ensure alignment with MAS expectations and industry standards.
- Act as the primary liaison with MAS on compliance matters, including regulatory filings, inspections, audits, and regulatory queries.
- Oversee AML/CFT compliance matters, including sanctions screening, suspicious transaction reporting, enhanced due diligence, and staff training.
- Work closely with management, Risk, and Operations teams to strengthen internal controls and provide regulatory advisory support.
What We're Looking For
- Bachelor's degree in Law, Finance, Accounting, Business, or a related discipline relevant professional qualifications are advantageous.
- Minimum 5 years of compliance experience within capital markets, OTC derivatives, leveraged FX, brokerage, or MAS-regulated financial institutions.
- Strong knowledge of the Securities and Futures Act (SFA), MAS Notices and Guidelines, AML/CFT regulations, and CMS licensing obligations.
- Experience managing MAS inspections, regulatory correspondence, and compliance-related engagement with regulators.
- Strong analytical, communication, and stakeholder management skills, with the ability to operate independently in a regulated environment.
What We Offer
- Opportunity to lead compliance matters within a MAS-regulated capital markets services business.
- Exposure to complex regulatory and governance matters relating to OTC derivatives and leveraged FX trading.
- Professional and collaborative working environment with strong exposure to senior management and regulatory engagement.
