Senior Executive/ Manager, Compliance

Phillip Capital Inc.; Singapore; On-site; SGD 120,000 - 180,000; Full time

Job summary

Phillip Securities Pte Ltd seeks an experienced Compliance officer to oversee regulatory compliance for asset and fund management in Singapore. You will advise on development, implementation, and monitoring of the firm's compliance framework across APAC markets.

You must have at least 5 years in asset/fund management, deep MAS knowledge (SFA, FAA, VCC, AML/CFT), and the ability to train staff, support audits, and liaise with regulators. ICA certificate or compliance diploma is an advantage.

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).

Responsibilities

• Review and monitor fund management activities for regulatory compliance.
• Maintain and update compliance policies reflecting MAS requirements.
• Conduct internal compliance monitoring across front-, middle-, and back-office.
• Support regulatory filings, reports, and surveys as required.
• Provide compliance advisory to portfolio managers and product teams on fund launches and cross-border marketing.
• Deliver regular compliance training and regulatory updates.
• Liaise with external auditors, legal counsel, and regulators during inspections.
• Track regulatory developments and implement changes across the business.

Skills

Regulatory compliance

Stakeholder advisory

Regulatory reporting

Training delivery

Internal controls

Education

Bachelor’s degree in Accountancy, Finance, Business

Tools

RPA

UiPath

Tableau

Job description

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.