Compliance Officer

About the Role

BugleRock Capital is a MAS-licensed wealth and asset management firm in Singapore. We are looking for a Compliance Officer to own the day-to-day compliance function and keep the firm aligned with MAS regulations as we grow. You will work closely with the front office, senior management and external advisors.

Key Responsibilities

Monitor and ensure compliance with the Securities and Futures Act, MAS notices and guidelines applicable to a Capital Markets Services licensee

Maintain and update the firm’s compliance policies, procedures and manuals

Oversee AML/CFT controls, including client onboarding, KYC/CDD, EDD, sanctions and PEP screening, and suspicious transaction reporting

Review marketing materials, client communications and product documentation for regulatory compliance

Conduct compliance monitoring and testing, including trade surveillance, personal account dealing, conflicts of interest and gifts and entertainment

Manage regulatory filings, returns and notifications to MAS

Handle breach and incident reporting, investigations and remediation tracking

Deliver compliance training and advise staff on regulatory requirements

Support audits, regulatory inspections and licence-related applications

Provide compliance input on new products, services and business initiatives

Requirements

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

7 to 8 years of compliance experience in wealth management, asset management or private banking in Singapore

Prior front office or business-facing compliance background is preferred

Strong working knowledge of the SFA, FAA, MAS notices and AML/CFT requirements

Familiarity with RMO, RNF and Compliance Officer regulatory requirements is an advantage

Sound judgment, with the confidence to challenge and advise senior stakeholders

Excellent written and verbal communication skills

High integrity and strong attention to detail