Compliance jobs in Singapore
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Compliance Officer
Job summary
A financial services company in Singapore is seeking a Compliance Officer to lead its compliance function. The role involves ensuring adherence to regulatory guidelines, managing audits, and performing regulatory filings. The ideal candidate should have a Bachelor's degree, 2 to 5 years of experience in fund compliance, and excellent communication skills, including proficiency in Mandarin.
Qualifications
- 2 to 5 years of experience in a fund house, fund administration or compliance officer role.
- Strong knowledge of legal and regulatory requirements, including Anti-Money Laundering.
Responsibilities
- Lead compliance function for a MAS CMS-licenced fund house.
- Ensure adherence to compliance policy and update policies as required.
- Perform regulatory filing including FAR, FATCA and CRS annual filing.
Skills
Education
The candidate will be part of the non‑investment team and lead the compliance function of an MAS CMS‑licenced fund house, with cross‑border regulatory requirements.
- Ensure adherence to compliance policy
- Update manuals and policies as required
- Assist with Operational Due Diligence requests
- Create and manage effective action plans in response to any possible risks identified
- Perform Know‑Your‑Customer and Due Diligence review on investors
- Regulatory filing e.g. FAR, FATCA and CRS annual filing
- Annual ADV filings for SEC RIAs
- Prepare quarterly regulatory and compliance report
- Manage employee disclosures – quarterly and annual
- Assist with internal audits
- Submission of MAS returns, forms, questionnaire and surveys
- Liaise with external parties for regular employee training programme
- Periodic review of Enterprise‑Wide Risk Assessment
- Stay up to date with changes to MAS, SEC and CIMA regulatory guidelines
- Ensure compliance with OFAC and Sanction regulations
- Update Outsourcing Register and perform Outsourcing Due Diligence on service providers
- Assist in reviewing subscription and redemption contract notes
- Attending Board Meeting and take minutes
- Assistance with annual audit and review of financial statements
- Bachelor's degree in accounting, finance, business management or any related discipline
- At least 2 to 5 years of experience in a fund house, fund administration or compliance officer role
- Strong knowledge of legal / regulatory requirements and procedures e.g. Anti‑Money Laundering
- Strong proficiency in Microsoft Office Suite (Excel, Word, Outlook)
- Familiarity of basic accounting principles
- Excellent communication skills and enthusiastic and quick learner
- Proactive, independent individual with attentiveness to details
- Strong commitment to work responsibilities
- Good command of Mandarin is required
Interested parties please send your resume, availability, contact details and expected salary.
Regrettably, only shortlisted candidates will be contacted.
* The salary benchmark is based on the target salaries of market leaders in their relevant sectors. It is intended to serve as a guide to help Premium Members assess open positions and to help in salary negotiations. The salary benchmark is not provided directly by the company, which could be significantly higher or lower.