Key Responsibilities
Regulatory Compliance
- Liaise with MAS and other regulatory bodies on regulatory filings/submissions, inspections, and reporting obligations.
- Monitor regulatory developments and ensure timely implementation of new MAS requirements, guidelines, and circulars.
Policies & Procedures
- Develop and maintain compliance policies, procedures, and internal controls to meet MAS and global regulatory requirements.
- Ensure compliance frameworks are tailored to the unique operational characteristics and risks of our investment strategies.
Monitoring & Surveillance
- Oversee the compliance monitoring and testing program, including trade surveillance, AML/CFT screening, and personal account dealing reviews where applicable.
- Conduct or coordinate with group departments on compliance reviews and internal audits
- Monitoring regulatory developments and updating internal policies accordingly.
AML/CFT & KYC
- Work closely with fund administrators and act as the designated AML Officer and/or Money Laundering Reporting Officer (MLRO), where applicable.
- Ensure adherence to MAS AML/CFT guidelines and global standards for investor onboarding and ongoing monitoring, especially in complex fund structures.
Training & Advisory
- Provide compliance advisory support to investment, operations, and distribution teams on fund structuring, product launches, and cross-border activities.
- Lead regular staff training sessions on compliance, AML, and conduct risk topics relevant to alternative investments.
Governance & Reporting
- Prepare and present regular compliance reports to the Board, CEO, and relevant committees.
- Support the risk management function and collaborate with internal/external audit teams.
- Coordinate with internal legal/compliance teams on group-level compliance activities
Requirements
- A bachelor’s degree with good academic results from a good university, in Law, Accounting, Business or related discipline.
- 10 years of relevant Compliance experience in financial services. Candidates from alternative investment funds are preferred.
- Good working knowledge of the investment management industry and financial products.
- Strong analytical skills and ability to demonstrate and articulate a clear thought process in analyzing regulatory and compliance issues. Diligent with attention to details.
- Ability to perform processes and controls using Compliance systems.
- A proactive, confident, and highly motivated person who is able to work both independently and as a member of the team and with an ability to multitask.
- Effective communication skills with clear and succinct written and oral communication and interpersonal skills.