About the Company:
Conduit Group, headquartered in Singapore, is an independent financial services provider delivering bespoke financial solutions tailored to address the complex needs of a diverse range of investors. Through two regulated entities, Conduit Group holds Capital Markets Services Licenses from the Monetary Authority of Singapore for Fund Management and Dealing in Capital Markets Products.
The incumbent will work closely with the Head of Compliance across a broad spectrum of regulatory, governance and advisory matters. This role offers meaningful exposure to the compliance function of an MAS-regulated financial institution and is well suited for a compliance professional seeking to broaden their experience beyond traditional AML/KYC responsibilities into enterprise-wide compliance, regulatory advisory and governance.
Roles & Responsibilities:
- Support the daily compliance activities, including but not limited to, conducting KYC/CDD checks, transaction monitoring, providing day-to-day compliance advisory to business stakeholders, supporting regulatory reporting, and reviewing agreements/marketing materials.
- Coordinate the maintenance of key compliance documentation such as policies, risk registers, compliance plans, compliance calendars, enterprise-wide risk assessments, and technology risk management reviews.
- Assist in preparing for internal and external audits, and documentation for regulatory inquiries or requests.
- Assist in monitoring regulatory developments and supporting the implementation of regulatory changes across Conduit Group.
- Support data management, maintaining compliance with relevant data protection laws and regulations, and the necessary documentation.
- Support the due diligence process for service providers and assist in managing related documentation.
- Contribute to the continuous improvement of Conduit Group's compliance frameworks, policies and procedures.
- Support any other compliance-related tasks or projects as needed.
Requirements:
- Bachelor's degree in Business, Finance, Accountancy, or a related discipline.
- 3-5 years of relevant compliance experience within an MAS-regulated financial institution, preferably in fund management, external asset management, securities or capital markets.
- Good understanding of MAS regulations (i.e., SFA and FAA) applicable to Capital Markets Services license holders, including AML/CFT requirements and regulatory expectations.
- Experience in compliance advisory, compliance monitoring, KYC/CDD, client onboarding and regulatory compliance.
- Familiarity with accredited investor onboarding and private market or fund management environments will be an advantage.
- Strong analytical and problem-solving skills with the ability to apply sound judgement to practical business situations.
- Strong written and verbal communication skills, with the confidence to engage stakeholders across different functions.
- Well organised, able to manage multiple priorities and meet deadlines in a dynamic environment.
- Proactive, adaptable and able to work both independently and collaboratively within a lean team.
- High level of integrity, professionalism and attention to detail.
