Our client in the fintech industry is looking for a Senior Compliance Officer.
Responsibilities
- Serve as the designated in-charged for a Singapore LFMC under the Monetary Authority of Singapore regulatory framework.
- Lead the firm's compliance program, including policies, monitoring, controls, and employee training.
- Act as the primary MAS liaison, managing regulatory filings, inspections, and supervisory engagement.
- Oversee trading and market conduct surveillance, including monitoring for spoofing, front-running, and misuse of MNPI.
- Administer personal account dealing and information barrier controls for Singapore-based and remote staff.
- Maintain the AML/CFT framework in accordance with MAS requirements (including MAS Notice SFA04-N02), overseeing KYC, due diligence, and sanctions screening.
- Serve as AMLCO and/or MLRO with responsibility for escalation and regulatory reporting.
- Coordinate with regional compliance teams on cross-border trading and regulatory matters involving the Securities and Futures Commission, U.S. Securities and Exchange Commission, and Financial Conduct Authority regimes.
- Provide regular compliance reporting to senior management and the Singapore LFMC Board, and support regulatory audits and investor due diligence.
Qualifications
- Bachelor's degree in Law, Finance, Risk, or a related field.
- Min 7 years of compliance experience, including 3 years with a MAS-licensed fund management company (LFMC).
- Strong knowledge of the Securities and Futures Act, MAS LFMC regulatory framework, AML/CFT rules, and market conduct requirements.
- Experience managing MAS inspections and regulatory inquiries.
