ARE YOU SEEKING PERSONAL GROWTH AND CAREER ADVANCEMENT
We are seeking a Compliance & Risk Manager to serve as the key individual responsible for managing all aspects of the compliance and risk framework in accordance with the Monetary Authority of Singapore (MAS) regulatory requirements. This is a sole contributor role and will oversee the regulatory compliance, trade compliance, and risk function for our fund management and external asset management (EAM) business lines.
This position requires a self-starter who can work independently, is meticulous, and able to collaborate effectively with both internal and external stakeholders.
HERE'S A SHORT INTRO OF OUR COMPANY
Ascend Asia Asset Management (AAAM) is a Capital Markets Services (CMS) licensed fund management company regulated by the Monetary Authority of Singapore under the Securities and Futures Act. We are a proud member firm of Ascend Asia, a visionary platform backed by KKR that supports financial advisory firms in scaling sustainably through strategic investment, industry expertise, and technology. AAAM provides member financial advisory firms with institutional insights, innovative high-quality funds, and advanced wealth management solutions for their accredited clients. At AAAM, you will be part of a forward-thinking, growth-oriented environment where innovation, collaboration, and purpose drive everything we do.
WE WILL EXPECT YOU TO:
Regulatory Compliance (CMS License)
- Ensure full compliance with applicable regulations under the Securities and Futures Act (SFA), Financial Advisers Act (FAA), and related MAS Notices, Guidelines, and Circulars.
- Monitor regulatory developments and assess the impact to the company; implement timely updates to policies and procedures.
- Handle all communications with MAS, including regulatory submissions, surveys, and inspections.
- Handle all communications with internal stakeholders and manage compliance priorities and outcome
- Maintain and update compliance manuals, registers, and internal controls in line with best practices and regulatory expectations.
Trade & Investment Compliance
- Perform pre- and post-trade checks to ensure adherence to investment mandates, restrictions, and regulatory limits (Code of CIS).
- Monitor personal account trading and manage conflicts of interest in line with internal policy.
- Conduct portfolio compliance reviews for funds and managed accounts under advisory or discretionary mandates.
Advisory & EAM Compliance
- Implement and monitor compliance procedures for client onboarding, suitability assessments, fact-finding, and advisory documentation.
- Conduct regular reviews of client files, KYC documents, and investment recommendations.
- Provide compliance guidance to client advisors and ensure alignment with FAA requirements and internal product governance frameworks.
Risk Management
- Develop and maintain the Risk Management Framework and Risk Register.
- Identify, assess, and report operational, compliance, and investment risks to senior management and the Board.
- Work with business units to implement controls, mitigation strategies, and business continuity plans.
- Conduct annual risk assessments and support internal/external audit exercises.
Training & Awareness
- Conduct regular compliance training for staff on AML/CFT, Code of Conduct and other relevant topics.
- Promote a strong culture of compliance and ethical conduct across the organization.
WHAT YOU NEED TO HAVE
- Bachelor's degree in Law, Finance, Accounting, or a related field.
- Minimum 8-10 years of relevant experience in compliance and/or risk management within a CMS licensed fund management company, EAM, or financial institution.
- Strong knowledge of SFA, FAA, MAS Guidelines, AML/CFT, and investment-related regulations in Singapore.
- Familiarity with fund structures (e.g. VCC, unit trusts) and wealth advisory practices.
- Excellent communication, interpersonal, and stakeholder management skills.
- High attention to detail, integrity, and ability to work independently in a fast-paced environment.
WHAT MAKES YOU STANDOUT
- Compliance-related certifications (e.g. ICA, ACAMS, CAMS, CFA, or Advanced Certificate in Regulatory Compliance) are a plus.
- Prior experience in working as the sole contribution in compliance or risk management function is advantageous
HOW TO APPLY
1. Click on the APPLY button below to send in your application
2. Click on the link provided below to complete a form:
https://tinyurl.com/AAAMCareer2026Pt1
https://tinyurl.com/AAAMCareer2026Pt2
(We regret that for applications sent in without submission of this form, your application will not be processed further.)
We look forward to meeting ambitious talents out there!
Ascend Asia Asset Management
