Role: Senior Manager/Manager, Compliance
Location: Singapore
Role Overview
Our client, a boutique asset management company with AUM of more than US10 billion, is seeking an experienced Compliance Officer to lead the compliance function under the MAS regulatory framework while overseeing compliance matters across multiple jurisdictions, including Europe and the United States.
This individual will serve as the key compliance lead for the Singapore entity and provide strategic oversight across group entities, ensuring robust regulatory compliance, AML controls, and governance standards. The role includes managing a team of three, working closely with the Global Head of Group Compliance and acting as a primary liaison with regulators.
Key Responsibilities
- Act as the designated Compliance Officer under MAS requirements and serve as the primary point of contact with regulators.
- Provide ongoing compliance advisory support to management and business teams across Singapore and other relevant jurisdictions, including Europe and the United States.
- Monitor and interpret regulatory developments, advising the business and funds on regulatory compliance and AML matters.
- Lead and ensure timely and accurate completion of regulatory filings and reporting obligations across multiple jurisdictions.
- Liaise with regulators during inspections, audits, reviews, and regulatory inquiries.
- Oversee onboarding of new clients and counterparties, ensuring compliance with KYC and AML requirements.
- Ensure periodic and ad-hoc KYC reviews are completed in a timely manner, with no overdue reviews.
- Oversee transaction monitoring processes, including investigations and escalation where required.
- Maintain and enhance compliance policies, procedures, and internal controls to ensure alignment with regulatory requirements.
- Provide periodic compliance reporting to senior management and the Board.
- Oversee and deliver compliance training programs and monitoring activities.
- Review and approve fund-related documentation and marketing materials, ensuring compliance with applicable regulatory requirements, including European regulations where relevant.
- Monitor investment restrictions and regulatory reporting requirements for funds.
- Conduct and oversee due diligence on external service providers, third-party vendors, and business partners, including ongoing monitoring of outsourced functions.
- Support responses to external due diligence requests from prospects, distributors, banks, and other stakeholders.
- Lead, mentor, and manage a small team, fostering a strong compliance culture across the organization.
- Undertake additional responsibilities and ad hoc projects as required by management.
Requirements
- 8-12+ years of experience in compliance, audit, or risk management within an asset management or fund management business.
- Experience in Big 4 or outsourced compliance advisory firms with a focus on financial services/funds is advantageous.
- Strong working knowledge of MAS regulations experience with global regulators such as SEC, CBI, CNMV, and FCA preferred.
- Demonstrated experience handling multi-jurisdictional regulatory frameworks.
- Proven leadership experience managing and developing teams.
- Strong analytical skills and high attention to detail.
- Highly organized, proactive, and capable of managing multiple priorities under tight deadlines.
- Excellent interpersonal skills with the ability to engage stakeholders across varying levels of seniority.
