Compliance Officer

Role Summary

The Compliance Officer will be responsible for the day-to-day implementation and oversight of the compliance framework of a Singapore-licensed LFMC, ensuring compliance with the Securities and Futures Act (SFA) and applicable MAS Notices, Guidelines, and Circulars, as well as supporting the firm’s risk management framework.

The role requires a hands-on compliance professional with practical experience in fund management operations and regulatory compliance.

1. RegulatoryCompliance & Advisory

• Implement and maintain the LFMC’s compliance framework in accordance with applicable Singapore regulations, including SFA, MAS Notices, Guidelines, and Circulars applicable to LFMCs.
• Provide practical, business-oriented compliance advice to investment, operations, and management teams on fund management activities, including marketing and distribution arrangements, conflicts of interest and personal account dealing.
• Act as a key point of contact for routine MAS interactions, regulatory filings, and ad-hoc queries.

1. Policies, Procedures & Controls

• Draft, review, and update internal compliance policies and procedures, including the compliance manual, risk management framework, AML/CFT policies etc.
• Support the implementation and operation of the firm’s risk management framework in accordance with MAS expectations.
• Ensure policies are operationally embedded and aligned with actual business practices.

1. Monitoring, Reviews & Reporting

• • Conduct periodic compliance monitoring and testing, including personal account dealing checks, review of marketing materials and disclosures, and outsourcing and service provider oversight.
• Support AML/CFT controls, including CDD oversight, sanctions screening, and STR escalation processes.
• Maintain risk registers and support periodic risk assessments and reviews.
• Prepare compliance reports for senior management.

1. Training and Knowhows

• Deliver compliance training to staff on regulatory obligations and internal policies and conduct standards.
• Monitor regulatory developments issued by MAS and assess their impact on the firm.
• Assist in implementing regulatory changes in a timely and proportionate manner.

• 3–6 years of relevant compliance experience in Singapore
• Strong knowledge of SFA and MAS Notices applicable to LFMCs, and AML/CFT requirements in Singapore
• Exposure to risk management frameworks and risk reporting within a regulated financial institution would be a plus
• Bachelor’s degree in Law, Business, Finance, or a related discipline

• Practical, detail-oriented, and able to work independently
• Comfortable dealing with day-to-day compliance matters
• Strong written and verbal communication skills. Business proficiency in Mandarin is preferred as this role will engage with stakeholders whose usual business language is Mandarin
• Able to interact confidently with business teams and external stakeholders
• Good judgment, integrity, and a solutions-oriented mindset