Compliance Officer

BUGLEROCK CAPITAL PTE. LTD.; Singapore; Vor Ort; SGD 120.000 - 180.000; Vollzeit

Zusammenfassung

BugleRock Capital, a MAS-licensed wealth and asset management firm in Singapore, seeks a Compliance Officer to own day-to-day compliance and align with MAS regulations as we grow. You will collaborate with front office, senior management and external advisors to strengthen governance.

Your role encompasses monitoring SFA/MAS requirements, updating policies, overseeing AML/CFT controls, reviewing marketing and product docs, and delivering training.

Qualifikationen

• Bachelor's degree required in Finance, Business or related field.
• 7–8 years of compliance experience in wealth/asset management or private banking in Singapore.
• Front office or business-facing compliance background preferred.
• Strong working knowledge of the SFA, MAS notices and AML/CFT requirements.
• Familiarity with regulatory requirements for RMO, RNF and Compliance Officers is an advantage.
• Excellent written and verbal communication skills with high integrity.

Aufgaben

• Monitor and ensure compliance with the Securities and Futures Act, MAS notices and guidelines applicable to a Capital Markets Services licensee.
• Maintain and update the firm's compliance policies, procedures and manuals.
• Oversee AML/CFT controls, including client onboarding, KYC/CDD, EDD, sanctions and PEP screening, and suspicious transaction reporting.
• Review marketing materials, client communications and product documentation for regulatory compliance.
• Conduct compliance monitoring and testing, including trade surveillance, personal account dealing, conflicts of interest and gifts and entertainment.
• Manage regulatory filings, returns and notifications to MAS.
• Handle breach and incident reporting, investigations and remediation tracking.
• Deliver compliance training and advise staff on regulatory requirements.
• Support audits, regulatory inspections and licence-related applications.
• Provide compliance input on new products, services and business initiatives.

Kenntnisse

Communication skills

Ausbildung

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

Jobbeschreibung

About the Role

BugleRock Capital is a MAS-licensed wealth and asset management firm in Singapore. We are looking for a Compliance Officer to own the day-to-day compliance function and keep the firm aligned with MAS regulations as we grow. You will work closely with the front office, senior management and external advisors.

Key Responsibilities

• Monitor and ensure compliance with the Securities and Futures Act, MAS notices and guidelines applicable to a Capital Markets Services licensee
• Maintain and update the firm's compliance policies, procedures and manuals
• Oversee AML/CFT controls, including client onboarding, KYC/CDD, EDD, sanctions and PEP screening, and suspicious transaction reporting
• Review marketing materials, client communications and product documentation for regulatory compliance
• Conduct compliance monitoring and testing, including trade surveillance, personal account dealing, conflicts of interest and gifts and entertainment
• Manage regulatory filings, returns and notifications to MAS
• Handle breach and incident reporting, investigations and remediation tracking
• Deliver compliance training and advise staff on regulatory requirements
• Support audits, regulatory inspections and licence-related applications
• Provide compliance input on new products, services and business initiatives

Requirements

• Bachelor's degree in Finance, Business or a related field
• 7 to 8 years of compliance experience in wealth management, asset management or private banking in Singapore
• Prior front office or business-facing compliance background is preferred
• Strong working knowledge of the SFA, FAA, MAS notices and AML/CFT requirements
• Familiarity with RMO, RNF and Compliance Officer regulatory requirements is an advantage
• Sound judgment, with the confidence to challenge and advise senior stakeholders
• Excellent written and verbal communication skills
• High integrity and strong attention to detail