Regulatory Compliance & Internal Audit Manager

OPTIONALITY COMPLIANCE PTE. LTD.; Singapore; On-site; SGD 78,000 - 100,000; Full time

Job summary

OPTIONALITY COMPLIANCE PTE. LTD. is a Singapore-based regulatory compliance advisory firm seeking an experienced Regulatory Compliance & Internal Audit Manager.

The role focuses on regulatory documentation, compliance reviews and internal audits across a diverse client portfolio in Singapore and Hong Kong. The successful candidate will independently manage scoping to delivery, demonstrating technical analysis, report quality and client communication excellence.

Qualifications

• Approximately 7-10 years of relevant professional experience in financial-services compliance, regulatory advisory, risk management or internal audit.

Responsibilities

• Draft, review and update regulatory manuals, policies, procedures and internal controls for financial-services clients.
• Prepare regulatory gap analyses, compliance assessments and advisory memoranda.
• Research MAS, SFC and other regulatory requirements and translate them into practical policies and controls.
• Plan and execute risk-based internal audits and compliance reviews for regulated institutions.
• Draft and finalize internal audit reports with findings, risk ratings and management responses.
• Manage client engagements and communicate regulatory findings with senior management.
• Develop standardized templates and improve documentation quality, using AI-assisted tools while ensuring accuracy.

Skills

Regulatory compliance

Internal audit

Regulatory reporting

Client management

English writing

Regulatory research

Education

CIA/CAMS/ICA/CPA (preferred)

Tools

AI-assisted drafting

Job description

Employment Type: Full-Time
Monthly Salary: S$7000-$9000
Industry: Financial Services / Regulatory Compliance Advisory

About the Role

We are an established Singapore-based regulatory compliance advisory firm supporting financial institutions, asset managers and other regulated financial-services businesses in Singapore and Hong Kong.

We are seeking an experienced Regulatory Compliance & Internal Audit Manager to take ownership of regulatory documentation, compliance reviews and internal audit engagements across our client portfolio.

This is a hands-on professional role requiring strong technical expertise, excellent written communication skills and the ability to independently research regulatory requirements, assess compliance arrangements and produce high-quality, client-ready deliverables.

The successful candidate will manage assignments from initial scoping through final delivery, with substantial responsibility for technical analysis, report preparation and client communications.

Key Responsibilities

1. Regulatory Documentation and Advisory

• Independently draft, review and update compliance manuals, policies, procedures, internal controls and regulatory frameworks for financial-services clients.
• Prepare regulatory gap analyses, compliance assessments, advisory memoranda and regulatory submissions.
• Research and interpret regulatory requirements issued by the Monetary Authority of Singapore (MAS), Hong Kong Securities and Futures Commission (SFC) and other relevant authorities.
• Translate regulatory requirements into practical policies, procedures and control recommendations appropriate to each client's business activities.
• Review existing client documentation for regulatory deficiencies, inconsistencies and areas requiring improvement.
• Monitor relevant regulatory developments and assess their implications for client compliance arrangements.
• Take responsibility for the technical accuracy, completeness, consistency and timely delivery of assigned documentation.

2. Internal Audit and Compliance Reviews

• Independently plan and execute risk-based internal audit and compliance review engagements for regulated financial institutions.
• Develop audit scopes, risk assessments, testing programmes and working papers.
• Evaluate internal control frameworks, governance arrangements, regulatory compliance and operational processes.
• Perform and supervise control testing, documentation reviews and evidence assessments.
• Identify control weaknesses and regulatory deficiencies, assess their significance and develop appropriate recommendations.
• Draft and finalize comprehensive internal audit reports, including findings, risk ratings, supporting evidence, recommendations and management responses.
• Conduct follow-up reviews of remediation measures and outstanding findings.
• Maintain appropriate audit documentation, professional objectivity and adherence to applicable audit methodologies.

3. Client Engagement Management

• Serve as the principal contact for assigned client engagements and manage projects through completion.
• Independently manage client requests, regulatory questions, project schedules and deliverables.
• Conduct client meetings to discuss regulatory requirements, audit findings and recommended corrective actions.
• Coordinate information requests and follow-up discussions with client management and compliance personnel.
• Exercise sound professional judgment and elevate material regulatory risks, significant findings or complex matters when appropriate.
• Maintain high standards of confidentiality, professionalism and client service.

4. Quality Assurance and Process Improvement

• Review the work of junior professionals and provide guidance on regulatory research, documentation and audit testing.
• Develop and maintain standardized templates, testing programmes and reporting methodologies.
• Identify opportunities to improve documentation quality, efficiency and consistency.
• Use appropriate technology and AI-assisted research or drafting tools while independently verifying regulatory accuracy, factual support and confidentiality safeguards.

Requirements

Essential

• Approximately 7-10 years of relevant professional experience, or equivalent demonstrated expertise, in financial-services compliance, regulatory advisory, risk management or internal audit.
• Substantial practical experience drafting and reviewing regulatory compliance policies, procedures, compliance assessments and related documentation.
• Demonstrated experience independently managing compliance reviews or internal audit engagements, including preparation of complete audit reports.
• Strong working knowledge of MAS or SFC regulatory requirements applicable to licensed financial institutions, particularly asset management or capital markets activities.
• Ability to interpret complex regulations, identify control deficiencies and translate findings into practical recommendations.
• Excellent written English, with demonstrated ability to prepare clear, accurate, well-structured professional reports.
• Proven ability to manage multiple client assignments independently and meet competing deadlines.
• Strong analytical skills, professional judgment and attention to detail.
• Ability to communicate effectively with senior client management and regulated professionals.

Preferred

• Previous experience in a specialist regulatory compliance consultancy, professional-services firm or financial-services risk advisory practice.
• Experience supporting multiple regulated clients rather than a single financial institution.
• Familiarity with both Singapore MAS and Hong Kong SFC regulatory frameworks.
• Experience with fund management companies, capital markets intermediaries, AML/CFT requirements, governance and operational risk controls.
• Experience supervising junior compliance or audit professionals.
• Relevant professional qualifications such as CIA, CAMS, ICA, CPA, ACCA or equivalent.

What We Offer

• A substantive professional role with responsibility for managing regulatory advisory and internal audit engagements.
• Exposure to a diverse portfolio of regulated financial-services businesses across Singapore and Hong Kong.
• Significant autonomy in technical analysis, documentation, client management and project delivery.
• Direct interaction with senior management and decision-makers.
• Opportunities to contribute to the development of the firm's regulatory compliance methodologies, documentation standards and technology-enabled workflows.

Application Process

Shortlisted candidates may be invited to complete practical assessments involving regulatory documentation, compliance analysis and internal audit reporting.

We are particularly interested in candidates who can demonstrate personal ownership of completed regulatory documents and audit engagements, rather than experience limited to compliance administration or supporting activities.