Business Compliance Manager

GUOTAI JUNAN INTERNATIONAL SECURITIES (SINGAPORE) PTE. LIMITED; Singapore; On-site; SGD 90,000 - 150,000; Full time

Job summary

GUOTAI JUNAN INTERNATIONAL SECURITIES (SINGAPORE) PTE. LIMITED is seeking an experienced KYC/AML compliance professional to join Wealth Management.

You will review onboarding files, perform first-line KYC/AML due diligence, verify source of wealth and funds, and ensure documentation aligns with MAS requirements. You will monitor ongoing client lifecycle, conduct periodic reviews, assist in policy governance, and liaise with Compliance, Legal, Risk and Operations.

Qualifications

• 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.

Responsibilities

• Perform first-line review of onboarding files submitted by RMs, including: KYC information, AML/CFT due diligence, SOW & 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.
• Conduct periodic reviews (PR/DD) and trigger-event reviews; review client activity alerts and screening hits.
• Assist in timely resolution and documentation of compliance issues.
• 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.
• Serve as primary compliance liaison for the Wealth Management front office; coordinate with 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.
• Support preparation of materials for MAS reviews, regulatory queries, and internal audits.
• Ensure accurate reporting and timely submission of required information.
• 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.

Skills

KYC/AML

Regulatory compliance

Onboarding

PEP handling

SOW/SOF corroboration

Stakeholder liaison

Education

Bachelor's degree in Finance, Law, Business, or related field

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