Compliance Officer

Overview

The Compliance Officer shall possess in-depth knowledge of the AML/KYC client due diligence process, compliance monitoring, and review programs.

Key Responsibilities

*Conduct periodic reviews of Customer Due Diligence (CDD) files, anti-money laundering (AML) frameworks, and enterprise risk assessments to ensure alignment with regulatory standards.

*Proactively identify, investigate, and escalate potential AML risks, transactional red flags, and anomalous behavioural patterns.

*Perform regular quality assurance reviews across Transaction Monitoring (TM), internal operating procedures, and designated high-risk business areas to maintain rigorous compliance standards.

*Provide backup coverage to review, investigate, and clear TM alerts, supporting the team in maintaining service levels and mitigating backlog queues.

*Design and deliver comprehensive compliance training sessions for internal staff to foster a strong culture of regulatory awareness and adherence.

*Provide reliable administrative and ad-hoc operational support to the broader compliance team as required.

Requirements

*Minimum of 3 years of professional experience within a compliance, regulatory, or client onboarding function, with specific exposure to the private wealth management sector.

*Strong analytical capabilities with the ability to independently conduct in-depth assessments on complex compliance matters, specifically regarding Customer Due Diligence (CDD) and periodic client reviews.

*Regulatory Knowledge: Comprehensive understanding of MAS 626 regulations, the Securities and Futures Act (SFA), the Financial Advisers Act (FAA), and other applicable Monetary Authority of Singapore (MAS) notices and guidelines.

*Qualifications: Relevant professional designations--such as CAMS, ICA, CISA, or CPA--are highly advantageous.