Business Compliance Manager

GUOTAI JUNAN INTERNATIONAL SECURITIES (SINGAPORE) PTE. LIMITED; Singapore; On-site; SGD 120,000 - 190,000; Full time

Job summary

GUOTAI JUNAN INTERNATIONAL SECURITIES (SINGAPORE) PTE. LIMITED is seeking a seasoned compliance professional to lead KYC/AML reviews and onboarding for Wealth Management clients.

You will conduct ongoing monitoring, contribute to governance frameworks, and advise front-office teams on regulatory requirements, while coordinating with Compliance, Legal, and Risk groups.

Qualifications

• Bachelor’s degree in Finance, Law, Business, or related field.
• Minimum 5+ years experience in KYC/AML/compliance in private banking/wealth management.
• Solid understanding of MAS AML/CFT regulations, customer due diligence standards, and wealth management products.
• Prior exposure to SOW/SOF corroboration, periodic review processes, and PEP/high-risk client handling.

Responsibilities

• Perform first-line review of client onboarding files, including KYC information, AML/CFT due diligence, SOW/SOF verification, and documentation checks.
• Conduct periodic reviews (PR/DD) and trigger-event reviews; assess client activity and screening results.
• Support development and updating of WM compliance procedures, SOPs, workflows, and onboarding governance frameworks.
• Serve as primary compliance liaison for the Wealth Management front office; coordinate with Compliance, Operations, Legal and Risk.
• Assist in regulatory interface activities including MAS reviews, audits, and queries.
• Support Head of Wealth Management on compliance initiatives and governance improvements.

Skills

KYC/AML

Compliance

Onboarding

MAS Regulations

Stakeholder Communication

Education

Bachelor’s degree in Finance/Law/Business

Job description

Key Responsibilities

Client Due Diligence & Onboarding

Perform first-line review of client onboarding files submitted by RMs, including:

• KYC information
• AML/CFT due diligence
• Source of Wealth (SOW) & Source of Funds (SOF) verification
• Corroboration and documentation checks
• Ensure adherence to internal policies and MAS regulatory requirements prior to account approval
• Support review and escalation of high-risk clients, PEPs, complex structures

Ongoing Client Lifecycle & Monitoring

• Conduct periodic reviews (PR/DD) and trigger-event reviews
• Review client activity alerts, transactional patterns, and screening hits
• Assist in timely resolution and documentation of compliance issues

Policy Governance & Control Implementation

• Support development, enhancement, and implementation of WM compliance procedures
• Assist in drafting / updating SOPs, workflows, and onboarding governance frameworks
• Ensure consistency with group policies while meeting local regulatory standards

Communication & Coordination

• Serve as primary compliance liaison for the Wealth Management front office
• Coordinate with internal stakeholders, including Compliance, Operations, Legal, and Risk
• Provide advisory support to RMs on onboarding requirements and compliance documentation
• Assist in training front-office teams on AML/KYC standards and new regulatory developments

External Audit & Regulatory Interface

• Support preparation of materials for MAS reviews, regulatory queries, and internal audits
• Ensure accurate reporting and timely submission of required information

Other Responsibilities

• Support Head of Wealth Management on compliance-related initiatives and remediation work
• Contribute to continuous improvement of WM governance and control framework
• Perform other duties assigned in support of business and regulatory readiness

Qualifications & Requirements

• Bachelor’s degree in Finance, Law, Business, or related field
• Minimum 5+ years experience in KYC/AML/compliance, preferably in private banking or wealth management
• Solid understanding of MAS AML/CFT regulations, customer due diligence standards, and wealth management products
• Prior exposure to SOW/SOF corroboration, periodic review processes, and PEP/high-risk client handling