The Role
My client is a global wealth management firm and we are looking for a Compliance candidate in Singapore. You will be overseeing all Compliance related matters for the firm, and will be working directly with the C levels on all Compliance related issues.
Responsibilities:
- Provide day-to-day compliance advisory to front office and support teams on applicable laws, regulations, and internal policies
- Interpret and implement regulatory requirements relevant to wealth management (e.g., client suitability, advisory practices, product governance)
- Conduct ongoing monitoring and surveillance activities, including trade monitoring, communications surveillance, and client account reviews
- Review client onboarding documentation to ensure compliance with KYC/AML requirements
- Identify, investigate, and escalate potential compliance breaches or suspicious activities
Requirements:
- Bachelors degree in a related field
- At least 5 years of Compliance experience – ideally within a Private Bank / Wealth / Family Office
- Strong knowledge across both Regulatory and AML within the Wealth space.
- Able to work independently
- Ability to manage and work with regional stakeholders
EA Personnel No R1985201
BeathChapman Pte Ltd
Licence No 16S8112
