Regulatory Compliance Officer

We are seeking an experienced Regulatory Compliance Officer to support our continued growth. This role is responsible for ensuring compliance with all applicable Singapore regulatory requirements across capital markets activities, including securities, exchange-traded and over-the-counter (OTC) derivatives, and collective investment schemes (CIS).

The role requires strong familiarity with MAS regulations, hands-on compliance experience, and the ability to partner closely with business units while maintaining robust governance standards. The key responsibilities are:

1. Regulatory Compliance & Advisory
• Ensure compliance with the Securities and Futures Act (SFA), relevant MAS Notices and Guidelines.
• Provide regulatory advice to the business units.
• Monitor regulatory developments from MAS and assess impact on business operations.

2. Policies, Controls & Frameworks
• Develop, review, and maintain compliance policies aligned with MAS requirements.
• Implement and enhance compliance monitoring programs and internal controls.
• Conduct compliance risk assessments and gap analyses.

3. Monitoring & Surveillance
• Review client onboarding processes in line with AML/CFT and suitability requirements.
• Monitor adherence to requirements on fair dealing, disclosure, and best execution.

4. Regulatory Reporting & Liaison
• Prepare and submit regulatory filings to MAS and other authorities
• Act as the liaison for regulatory inspections, audits, and queries.
• Support regulatory inspections and thematic reviews.

5. Training & Awareness
• Conduct regular compliance and AML/CFT training for staff.
• Promote awareness of MAS regulatory expectations and internal policies.

6. Product & Business Advisory
• Provide compliance input on new products and services.
• Participate in new business initiatives and ensure regulatory compliance at the design stage.

• Bachelor's degree in law, Finance, Business, or a related discipline. 
• Minimum 8 years of relevant compliance experience in a CMS licensed firm or bank in Singapore.
• Strong working knowledge of Securities and Futures Act and MAS Notices and guidelines applicable to CMS licenses.
• Professional certifications such as CAMS, ICA Diploma in Compliance/AML is a plus.
• Experience with regional regulatory regimes (e.g., HK SFC) is a plus.

Key Competencies

• Strong regulatory interpretation and advisory capability.
• Attention to detail with a risk-focused mindset.
• Effective stakeholder management and communication.
• Ability to operate independently and manage competing priorities.
• High integrity and professionalism.

 

 

SQ4