Associate or Senior Associate, Regulatory Compliance

Godwin Austen Advisory; Singapore; On-site; SGD 90,000 - 130,000; Full time

Job summary

Godwin Austen Advisory is seeking a Senior Associate / Assistant Manager (Regulatory Compliance) to advise financial services clients on SFA, FAA and MAS guidelines. You will prepare regulatory filings, review governance frameworks and respond to queries with practical guidance.

Candidates should have 3–5 years' regulatory compliance experience, a relevant bachelor's degree, and a proactive, client-focused approach in a fast-paced consultancy environment.

Qualifications

• Bachelor's degree in accounting/finance, business, legal or a related field.
• 3–5 years’ relevant professional experience; appointment level commensurate with experience.
• Experience in regulatory compliance with consultancy firms, financial institutions or MAS is advantageous.

Responsibilities

• Advise a portfolio of financial services clients on their obligations under the SFA, FAA and MAS guidelines.
• Respond to client compliance queries with accurate, practical guidance.
• Prepare and submit regulatory filings, notifications and periodic returns for clients.
• Develop and review regulatory governance frameworks, registers, policies and procedures for financial institutions.
• Conduct reviews of business processes and internal controls to identify regulatory gaps and assess compliance risks.
• Liaise with regulatory authorities, external auditors and stakeholders on behalf of clients.
• Monitor regulatory developments and assess impact on clients' businesses and compliance frameworks.
• Perform ad-hoc projects including regulatory mock inspections and AML/CFT due diligence reviews.
• Assist with other ad-hoc duties as required.

Skills

Regulatory compliance

Client advisory

Regulatory filings

Governance framework

Risk assessment

Stakeholder liaison

Regulatory monitoring

AML/CFT

Policy development

Team player

Deadline management

Education

Bachelor's degree in accounting/finance/business/legal

Job description

Senior Associate / Assistant Manager (Regulatory Compliance)

Career Level

Senior Associate / Assistant Manager

Qualification

Bachelor's Degree

Job Responsibilities

• Advise a portfolio of financial services clients on their obligations under the SFA, FAA and related MAS Notices and Guidelines
• Respond to client compliance queries accurately and promptly, providing clear and practical guidance
• Prepare and submit regulatory filings, notifications and periodic returns on behalf of clients
• Develop and review regulatory governance frameworks, registers, policies and procedures for financial institutions
• Conduct reviews of business processes and internal controls to identify regulatory gaps and assess compliance risks.
• Liaise and correspond with regulatory authorities, external auditors and other stakeholders in support of clients
• Monitor regulatory developments and assess their impact on clients businesses and compliance frameworks
• Perform ad-hoc projects, including but not limited to regulatory mock inspections, AML/CFT due diligence reviews
• Assist with other ad-hoc duties as required

Skills & Requirements

• Bachelor's degree in accounting/finance, business, legal or a related field
• At least three to five years’ relevant professional experience; appointment level will be commensurate with experience
• Experience in regulatory compliance with consultancy firms, financial institutions or MAS will be an added advantage
• Familiarity with compliance policies, procedures and frameworks beyond AML/CFT, such as licensing and conduct of business, conflicts of interest, outsourcing, business continuity, technology risk management and regulatory reporting. Candidates whose experience is limited to AML/CFT may not be suitable.
• Knowledge of local MAS regulatory requirements for capital markets entities
• Proficiency in English (written and spoken)
• Well organised and able to manage multiple client matters under prescribed deadlines
• A proactive and collaborative team player who thrives in a fast-paced, client-centric environment.