Fund Management Compliance

TRULYYY PTE. LTD.; Singapore; On-site; SGD 60,000 - 90,000; Full time

Job summary

A financial services firm in Singapore is seeking a Compliance Officer to ensure adherence to regulatory frameworks and provide compliance guidance to teams. The role demands a Bachelor's degree and 2–7 years of compliance experience within a MAS-regulated institution, along with strong knowledge of MAS regulations. Proficiency in Mandarin is required. Interested candidates should send their CV to [e-mail].

Qualifications

• 2–7 years of compliance experience within a MAS-regulated financial institution.
• Strong knowledge of MAS regulations applicable to fund managers.
• Familiarity with quantitative/algorithmic trading compliance risks is a plus.

Responsibilities

• Ensure ongoing compliance with Securities and Futures Act, Financial Advisers Act, and MAS guidelines.
• Conduct daily and periodic trade surveillance for market abuse.
• Prepare and submit regulatory filings including AML/CFT returns.

Skills

Regulatory compliance

Risk assessment

Due diligence

Mandarin communication

Education

Bachelor’s degree in Law, Finance, Accounting, Business or related field

Job description

Key Responsibilities

Regulatory Compliance & Monitoring

• Ensure ongoing compliance with Securities and Futures Act (SFA), Financial Advisers Act (FAA), and MAS notices/guidelines.
• Conduct daily and periodic trade surveillance, monitoring for market abuse, insider trading, or other regulatory breaches.
• Oversee adherence to position limits, short-selling rules, and other exchange‑specific requirements.
• Prepare and submit regulatory filings, including AML/CFT returns and MAS surveys.

Policies, Procedures & Training

• Maintain and update the firm’s Compliance Manual, policies, and procedures to reflect regulatory and business changes.
• Assist in designing and delivering compliance training programs for staff.

Risk Assessment & Controls

• Conduct periodic compliance risk assessments and test internal controls.
• Manage Personal Account Dealing and Gifts & Entertainment registers.

AML/CFT Oversight

• Conduct CDD and ongoing due diligence on investors and counterparties.
• Perform sanctions, PEP, and adverse media screening.
• Investigate and escalate suspicious transaction reports (STRs).

Advisory & Business Partnership

• Provide practical compliance guidance to investment, trading, and technology teams.
• Review marketing materials, client communications, and research to ensure regulatory compliance.

Qualifications & Experience

• Bachelor’s degree in Law, Finance, Accounting, Business, or related field.
• 2–7 years of compliance experience within a MAS‑regulated financial institution, preferably in fund/asset management or hedge funds.
• Strong knowledge of MAS regulations applicable to fund managers (SFA, FAA, AML/CFT).
• Familiarity with quantitative/algorithmic trading compliance risks is a plus.
• Mandarin is required due to the need to communicate with Mandarin speaking clients and counterparts

If you’re interested in this opportunity, please send your CV to [e-mail]

Regrettably, only shortlisted candidates will be notified. Please note that data provided is for recruitment purposes only.

Business Registration No.: 202004228R | License. No. - 20S0118 | EA Registration No. - R22104027