Compliance officer / Manager

Key Role Responsibilities

. Client Management:

Manage compliance obligations for boutique financial institutions, external asset managers, and brokers (AI).

. Compliance Advisory:

Manage and address senior management's compliance queries, assist with employee compliance queries and provide guidance on implementation of compliance tasks or frameworks.

Provide independent compliance advice or assessment to financial institutions to assess and document their compliance operations and requirements.

. Regulatory Compliance:

Handle customer due diligence (CDD), draft advisory reports, and review MAS (Monetary Authority of Singapore) regulatory returns and quarterly filings and surveys.

Update clients on regulatory development and propose implementation.

. Frameworks &Audits:

Support internal audit functions, licensing applications (e.g., under the Securities and Futures Act or Financial Advisers Act), and AML/CFT measures.

. Business Development:

To understand prospect's compliance needs and to recommend company solutions that meet and address those needs.

Requirements

. Experience:

Minimum 5+ years of experience in regulatory compliance, audit firms, or financial institutions.

Experience working at compliance consultancy firms highly advantageous.

. Education:

Bachelor's degree in Accountancy, Finance, Banking, Business, or Law.

. Certifications /Skills:

Strong command of English accounting background for MAS quarterly returns optional credentials such as ICA, ACAMS.