Compliance Executive

Overview:

We are an established US investment firm operating as a MAS-regulated Fund Management Company (FMC) in Singapore, serving accredited and institutional clients. We are seeking a meticulous Compliance Officer for a hands-on role managing our day-to-day institutional compliance framework. You will collaborate closely with our Legal & Compliance department, the CEO, and senior management to drive excellence across MAS regulatory reporting, AML/CFT surveillance, and PDPA compliance.

Key Responsibilities:

• Actively monitor evolving MAS regulations, notices, and circulars to keep internal policies compliant, while preparing and submitting all mandatory MAS filings, returns, and notifications on time.
• Support the firm’s ongoing Fund Management Company (FMC) licensing conditions, maintain organized representative records, and track MAS fit-and-proper and Continuing Professional Development (CPD) obligations.
• Administer the firm’s risk-based AML/CFT framework by conducting investor Customer Due Diligence (CDD/EDD), screening sanctions/PEP/adverse media, and managing registers or filing Suspicious Transaction Reports (STRs) when needed.
• Execute the compliance monitoring plan, facilitate internal or external audits, and assist the Data Protection Officer (DPO) to ensure adherence to the Singapore Personal Data Protection Act (PDPA).
• Serve as the day-to-day compliance advisor to the Investment, Operations, and Finance teams, while designing and delivering regulatory training on conduct, conflicts, and group compliance initiatives.
• Conduct risk-based due diligence and ongoing oversight of third-party service providers (such as fund administrators and custodians) while preparing periodic compliance reports for the CEO, Board, and CCO.

Requirements:

• Bachelor’s degree in Law, Accounting, Business, Finance, or a related discipline; a relevant professional qualification is advantageous.

• At least 2 years of relevant financial-services compliance, regulatory, audit, or advisory experience, preferably involving asset or fund management in Singapore.

• Knowledge of the MAS regulatory framework applicable to FMCs, including the SFA and relevant MAS notices, guidelines, and licensing conditions, Singapore PDPA, including data-breach and cross-border transfer requirements.

• Practical experience with AML/CFT processes, including KYC/CDD, sanctions screening, and transaction monitoring.

• Exposure to alternative investment fund structures (e.g., private equity, venture capital) is a plus.

Please include the following information in your resume.

• Current & Expected Salary
• Reason(s) for leaving
• Notice Period / Availability to commence work

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We regret only short-listed candidates will be notified.
EA License | 18C9251 WGT Group
Registration No | R22111484 Ketty Lim