Director / VP - Compliance Officer, Alternative Asset Management

SMBC Group; Singapore; On-site; SGD 80,000 - 120,000; Full time

Job summary

A financial services firm in Singapore is seeking a Regulatory Compliance Officer with over 10 years of experience. The role involves liaising with regulatory bodies, developing compliance policies, and overseeing compliance monitoring. Candidates should have a strong analytical background, excellent communication skills, and a bachelor's degree in a related field. This position offers an opportunity to influence compliance practices in a dynamic investment environment.

Qualifications

• 10 years of relevant Compliance experience in financial services.
• Good working knowledge of the investment management industry.
• Ability to perform processes and controls using Compliance systems.

Responsibilities

• Liaise with MAS on regulatory filings and submissions.
• Develop and maintain compliance policies and procedures.
• Oversee compliance monitoring and testing program.

Skills

Regulatory filings and submissions

Compliance monitoring

AML / CFT guidelines

Strong analytical skills

Effective communication skills

Education

Bachelor's degree in Law, Accounting, Business or related discipline

Job description

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.