Senior Compliance Specialist, Financial Services Singapore

Millennium; Singapore; On-site; SGD 110,000 - 170,000; Full time

Job summary

Millennium in Singapore seeks an experienced compliance professional to support the Firm’s global compliance programme locally. You will administer the Code of Ethics, oversee personal trading policies and manage end-to-end trading controls in line with regulatory requirements.

The role reports to the Asia Compliance team, collaborating with stakeholders to ensure timely regulatory filings, risk mitigation and a strong control environment within a financial services setting.

Qualifications

• At least 5 years’ relevant experience in financial-services control within a financial institution or in a paralegal, legal executive or legal support role.
• Bachelor’s degree, recognised paralegal or legal studies qualification, or an equivalent record of achievement.
• Strong knowledge of, or the ability to quickly develop expertise in, regulatory compliance, personal trading, the Code of Ethics and employee compliance matters.
• Familiarity with Singapore’s regulatory framework—including the SFA, FAA, and MAS notices and guidelines is advantageous.
• Strong drafting, document-management and research skills, with the discipline to maintain accurate records and meet deadlines.

Responsibilities

• Support the Firm’s global compliance programme in Singapore, including regulatory filings, examinations, investigations, inquiries, audits and inspections.
• Administer and oversee the Firm’s Code of Ethics and personal trading policies through relevant compliance systems and tools.
• Manage key elements of the personal trading programme end-to-end, including disclosures, pre-approval requests, reconciliations and trade monitoring, in line with regulatory requirements.
• Act as a trusted adviser to employees and senior stakeholders on personal trading, disclosure obligations, and policy and regulatory interpretation.
• Support Singapore regulatory obligations, including MAS licensing, representative notifications, periodic regulatory returns and fit-and-proper requirements.
• Prepare, review and maintain regulatory filings, submissions and responses to regulatory requests, ensuring timely delivery, accurate records and a clear audit trail.
• Maintain local policies, procedures and compliance registers; monitor regulatory developments; conduct regulatory research; and escalate matters requiring legal advice.
• Respond to KYC, AML and sanctions-related queries from brokers and counterparties; conduct periodic AML-related reviews; coordinate local certifications, attestations, training; and support compliance reporting, trend analysis, control enhancements, system improvements and other initiatives.

Skills

Financial services compliance

Regulatory knowledge

Documentation & research

Communication

Attention to detail

Education

Bachelor's degree or equivalent

Tools

Compliance systems

Data & reporting tools

Job description

Millennium in Singapore seeks an experienced compliance professional to support the Firm’s global compliance programme locally. You will administer the Code of Ethics, oversee personal trading policies and manage end-to-end trading controls in line with regulatory requirements.

The role reports to the Asia Compliance team, collaborating with stakeholders to ensure timely regulatory filings, risk mitigation and a strong control environment within a financial services setting.