The Senior Compliance Officer plays a key role in managing and strengthening the firm's compliance framework. The role is responsible for overseeing regulatory compliance, AML/CFT controls, surveillance activities, and regulatory reporting, while providing advisory support to business units and assisting the Head of Compliance on strategic and regulatory matters.
Key Responsibilities
- Ensure full compliance with MAS regulations, SFA requirements, and relevant Singapore laws, while advising business teams on regulatory obligations.
- Monitor regulatory changes and lead implementation of new rules, especially for new financial product launches.
- Oversee the firm's AML/CFT and KYC framework, ensuring adherence to MAS Notices, Guidelines, and FATF standards.
- Review and approve highrisk onboarding, EDD cases, and conduct ongoing AML/KYC monitoring, including investigating suspicious activities and supporting STR processes.
- Develop, maintain, and enhance compliance policies, procedures, and internal controls, including performing monitoring, thematic reviews, and control testing.
- Manage regulatory reporting and act as a key contact for MAS inspections, audits, and regulatory inquiries.
- Oversee trade surveillance and monitoring of client activities, ensuring timely escalation of unusual or suspicious behaviour.
- Support leadership initiatives, assist the Head of Compliance, mentor junior staff, and deliver firmwide compliance training.
Requirements
- At least 7 years of compliance experience in a brokerdealer or CMSLlicensed firm.
- Strong understanding of MAS regulations, SFA, FATF standards, and Singapore AML/CFT laws.
- Handson experience with compliance monitoring, AML, and trade surveillance systems.
- Proven experience in regulatory reporting and interacting directly with MAS and Exchanges.
- Strong analytical ability, attention to detail, and capacity to manage multiple deadlines in a fastpaced environment.
- Excellent communication skills in English and Chinese, with strong stakeholdermanagement capability.
