Senior Compliance Officer, External Asset Management

Our client is a Capital Markets Services (CMS) licensed firm specializing in Fund Management and External Asset Management (EAM) services for High-Net-Worth Individuals (HNWIs), Ultra-High-Net-Worth Individuals (UHNWIs), Accredited Investors, and Family Offices. With a strong entrepreneurial culture and a growing presence in Asia, the firm is committed to delivering bespoke wealth management solutions and upholding the highest standards of regulatory compliance.

Key Responsibilities & Requirements:

• Lead the development, implementation, and ongoing refinement of the firms compliance policies, procedures, and internal control framework to ensure alignment with regulatory standards and internal risk appetite.
• Oversee all regulatory filings, surveys, and renewals; maintain timely and accurate reporting to the Monetary Authority of Singapore (MAS) and other relevant bodies.
• Provide expert guidance on regulatory compliance matters across the business, particularly in AML/CFT, KYC, client onboarding, and financial advisory practices.
• Conduct routine compliance reviews, name screening, and investigations into suspicious activities, and manage the preparation and filing of Suspicious Transaction Reports (STRs).
• Stay informed on evolving regulatory developments under the SFA, FAA, and other MAS guidelines; proactively implement necessary changes and keep management updated.
• Coordinate internal and external audits, address findings, and drive corrective actions to strengthen compliance and operational risk management.
• Deliver ongoing compliance training to internal stakeholders to foster a culture of compliance awareness and accountability.
• Work closely with internal teams and external partners to ensure a robust and efficient compliance function across all touchpoints.

Ideal Candidate Profile:

• Degree in Law, Finance, or related discipline; relevant compliance certifications preferred.
• Minimum 8 years of relevant compliance experience in the financial sector, ideally within an EAM/ IWM setup.
• In-depth understanding of MAS regulations, particularly SFA, FAA, AML/CFT frameworks.
• Highly ethical, with strong interpersonal, analytical, and problem-solving skills.
• Proven ability to work independently in a fast-paced, entrepreneurial environment.

EA No 23S1936 Reg No R24124819