Compliance Officer

Overview:

Blue Edge is seeking a Regulatory and Compliance Officer (Junior/Mid-Level) with sharp attention to detail and analytically capable to manage regulatory surveys.

This is a critical position that supports the firm’s regulatory obligations and ensures enterprise-wide compliance.

The person need to be meticulous, conscientious, compliant, orderly, methodical and detail oriented.

Key Responsibilities:

1. Compliance Framework:

• Read and keep track of all newsletters and updates from MAS.
• Develop, maintain, and update compliance policies and procedures in accordance with MAS and NFA guidelines and regulatory expectations.
• Continuously review and enhance internal processes to ensure compliance, incorporating changes from regulatory developments and industry best practices.

1. Regulatory Liaison:

• Serve as a key point of contact for MAS, NFA, auditors, and other external stakeholders.
• Coordinate the management of regulatory inspections, audits, and reviews, and ensure timely resolution of any issues raised.

1. Monitoring and Reporting:

• Ensure all firm and representative licenses and registrations are current and compliant with MAS and NFA requirements.
• Maintain up-to-date records on employee personal trading, external directorships, and outside business activities.
• Coordinate and submit approximately 40 regulatory surveys annually, including MAS, NFA, and internal reports. this requires cross-departmental coordination, data compilation, and the ability to interpret and validate numerical information.

1. AML/CFT Oversight:

• Perform initial Know Your Client (KYC) and Anti-Money Laundering (AML) due-diligence assessments and periodic reviews on prospects and clients, to ensure full compliance with AML/CFT regulatory standards.
• Organize and deliver AML training sessions and contribute to firm-wide risk assessments to strengthen controls.

1. Advisory and Legal Review:

• Offer senior management with commercially sound guidance on compliance and regulatory risk matters.
• Review contracts, offering documents, agreements and other documents to ensure alignment with the firm’s policies and regulatory obligations, and ensure that all such documents are duly executed and appropriately filed.

Qualifications:

• Diploma or higher in Law, Risk Management, Banking & Finance, Business Administration, or a related field.
• Good understanding of MAS regulations and compliance practices, with hands-on experience interpreting and applying them.
• Proven ability to manage multiple deadlines, especially high-frequency regulatory surveys and reporting cycles.
• Strong numerical reasoning skills; ability to deduce insights from financial figures and data with precision.
• Critical and creative thinker with a structured, analytical mindset and a proactive approach to problem-solving.
• Excellent communication and interpersonal skills; able to collaborate across departments and with external stakeholders.