Senior Executive/ Manager, Compliance

Phillip Securities Pte Ltd; Singapore; On-site; SGD 120,000 - 180,000; Full time

Job summary

Phillip Securities Pte Ltd is seeking an experienced Compliance officer to lead advisory and monitoring across the asset and fund management business in Singapore. The role focuses on developing and implementing the firm’s compliance framework, aligning with MAS regulations, and ensuring timely regulatory reporting and training for staff.

The candidate should have at least five years of relevant experience, strong analytical and communication skills, and the ability to operate in a fast-paced,

Qualifications

• Minimum 5 years of experience in asset and fund management.
• Knowledge of the Singapore regulatory framework (SFA, FAA, VCC, AML/CFT, MAS Notices and Guidelines, Code on Collective Investment Schemes).

Responsibilities

• Review fund management activities for regulatory compliance.
• Maintain/update compliance policies reflecting MAS requirements.
• Conduct internal compliance monitoring across front/mid/back office.
• Support regulatory filings, reports, surveys.
• Provide advisory support to portfolio managers and product teams.
• Deliver regular compliance training and regulatory updates.
• Assist in liaising with auditors, counsel, regulators.
• Track regulatory developments and implement changes.

Skills

Regulatory knowledge

MAS regulations exposure

Asset/fund management experience

Advisory experience

Education

Bachelor’s degree in Accountancy, Finance, Business or related field

Tools

RPA

UiPath

Tableau

Job description

Job Summary

We are looking for an experienced, proactive and detail-oriented Compliance officer, with at least 5 years of experience in the asset and fund management industry in Singapore or other APAC markets. The successful candidate will provide advisory and support the development, implementation, and monitoring of the firm’s compliance framework and program, ensuring alignment with local and regional regulations.

Key Responsibilities

• Review and monitor fund management activities, discretionary mandates, and investment advisory services for regulatory compliance.
• Maintain and update compliance policies and procedures to reflect evolving MAS requirements and industry best practices.
• Conduct internal compliance monitoring and surveillance across front-office, middle-office, and back-office functions.
• Support the review and submission of regulatory filings, regular compliance reports, and other regulatory surveys as required.
• Provide compliance advisory support to portfolio managers, product teams, and distribution staff on fund launches, marketing materials, and cross-border marketing requirements.
• Deliver regular compliance training and regulatory updates to staff across the organization.
• Assist in liaison with external auditors, legal counsel, and regulatory authority where applicable, including handling inspections and audits.
• Track regulatory developments, conduct impact assessments, and assist in implementing regulatory changes across the business.

Qualifications

• Bachelor’s degree in Accountancy, Finance, Business or related field
• At least 5 years of experience in the asset and fund management industry
• Knowledge of the Singapore regulatory framework (SFA, FAA, VCC, AML/CFT, MAS Notices and Guidelines, Code on Collective Investment Schemes)

Preferred

• Experience with regulatory engagement and reporting to MAS
• Experience with monitoring compliance with the Code on Collective Investment Schemes and reporting of investment breaches to the regulator.
• Experience and knowledge with VCC, private equity is an advantage
• Ability to work independently and confidently in a fast-paced, regulated environment
• Excellent interpersonal, analytical, and communication skills
• ICA certificate or diploma in Compliance is an advantage
• Knowledge or familiarity with automation with Artificial Intelligence tools and data tools such as RPA, UiPath, Tableau

Brought to you by Phillip Securities Pte Ltd (A member of PhillipCapital)

We regret that only shortlisted candidates will be notified.