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.
Key Responsibilities
1. Regulatory Compliance & 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.
2. 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.
3. 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.
4. Training and Know‑hows
* 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.
Key Requirements
* 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
Skills & Attributes
* 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
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