Wealth Management Business Compliance Manager

GUOTAI JUNAN INTERNATIONAL SECURITIES (SINGAPORE) PTE. LIMITED; Singapore; On-site; SGD 60,000 - 90,000; Full time

Job summary

A global financial services firm in Singapore is seeking a compliance professional with over 5 years of KYC/AML experience, preferably in private banking or wealth management. The role involves client due diligence, regulatory compliance, and coordinating with various stakeholders. Strong knowledge of MAS regulations is required, along with excellent communication skills. This position is pivotal in ensuring adherence to regulatory standards and improving the governance framework.

Qualifications

• Minimum 5+ years experience in KYC/AML/compliance, preferably in private banking or wealth management.
• Solid understanding of MAS AML/CFT regulations and customer due diligence standards.
• Ability to work independently while coordinating across multiple functions.

Responsibilities

• Perform first-line review of client onboarding files.
• Conduct periodic reviews and trigger-event reviews.
• Serve as primary compliance liaison for the Wealth Management front office.

Skills

KYC/AML compliance knowledge

Stakeholder management

Attention to detail

Proactive communication

Education

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

Job description

Key Responsibilities

Client Due Diligence & Onboarding

• Perform first-line review of client onboarding files submitted by RMs, including:
  • KYC information
  • AML/CFT due diligence
  • Source of Wealth (SOW) & Source of Funds (SOF) verification
  • Corroboration and documentation checks
• Ensure adherence to internal policies and MAS regulatory requirements prior to account approval
• Support review and escalation of high-risk clients, PEPs, complex structures

Ongoing Client Lifecycle & Monitoring

• Conduct periodic reviews (PR/DD) and trigger-event reviews
• Review client activity alerts, transactional patterns, and screening hits
• Assist in timely resolution and documentation of compliance issues

Policy Governance & Control Implementation

• Support development, enhancement, and implementation of WM compliance procedures
• Assist in drafting / updating SOPs, workflows, and onboarding governance frameworks
• Ensure consistency with group policies while meeting local regulatory standards

Communication & Coordination

• Serve as primary compliance liaison for the Wealth Management front office
• Coordinate with internal stakeholders, including Compliance, Operations, Legal, and Risk
• Provide advisory support to RMs on onboarding requirements and compliance documentation
• Assist in training front-office teams on AML/KYC standards and new regulatory developments

External Audit & Regulatory Interface

• Support preparation of materials for MAS reviews, regulatory queries, and internal audits
• Ensure accurate reporting and timely submission of required information

Other Responsibilities

• Support Head of Wealth Management on compliance-related initiatives and remediation work
• Contribute to continuous improvement of WM governance and control framework
• Perform other duties assigned in support of business and regulatory readiness

Qualifications & Requirements

• Bachelor’s degree in Finance, Law, Business, or related field
• Minimum 5+ years experience in KYC/AML/compliance, preferably in private banking or wealth management
• Solid understanding of MAS AML/CFT regulations, customer due diligence standards, and wealth management products
• Prior exposure to SOW/SOF corroboration, periodic review processes, and PEP/high-risk client handling
• Strong communication and stakeholder management skills, especially with client-facing teams
• Detail-oriented, hands-on, proactive, and comfortable working in a build-out environment
• Ability to work independently while coordinating across multiple functions