Compliance Manager

1 week ago

Singapore FOMO PAY PTE. LTD. Full time
Roles & Responsibilities

About CapBridge

CapBridge, a member of FOMO Group, is a leading digital investment platform headquartered in Singapore. As a Capital Markets Services licensee, CapBridge is regulated by the Monetary Authority of Singapore (MAS) to deal in capital markets products, including securities and collective investment schemes, and to provide custodial services. It is also an exempt financial adviser licensed to issue or promulgate analyses and reports on investment products.

CapBridge enables HNWIs and institutional clients to invest in traditional and digital assets via its one-stop digital investment platform, providing highly curated, top-quality, and institutional-grade opportunities to meet clients' diverse asset allocation needs. Through CapBridge's associated company, FOMO Pay Pte Ltd, a regulated MAS Payment Services Act (PSA) Digital Payment Token (DPT) entity, qualified clients can also invest into CapBridge curated products using DPTs, providing a seamless bridge between Traditional Finance (TradFi) and Web3 Finance.

We are currently looking for a Business Operations Executive to join our team. The role is based in Singapore. We offer attractive remuneration with commission and the opportunity to join a high-performance team.

Role Overview

We are seeking an experienced Compliance Manager with deep expertise in capital markets and a thorough understanding of the Securities and Futures Act (SFA), the Financial Advisers Act (FAA), and MAS regulatory requirements. This role demands a professional adept at managing compliance for both traditional financial products and emerging digital asset operations. You will be pivotal in ensuring our operations meet both local and international regulatory standards, thereby safeguarding our reputation and supporting our strategic growth.

Key Responsibilities:

Regulatory Compliance & Liaison:

  • Oversee our operations to ensure full adherence to MAS standards for CMS licensed entities, emphasizing excellence in governance, ethical conduct, sales practices, and data protection.
  • Serve as the primary point of contact for all regulatory communications with MAS.

Advisory & Strategic Oversight:

  • Offer expert guidance on regulatory challenges and compliance strategies related to capital markets, digital asset operations, and insurance-related activities.
  • Evaluate new business ventures and infrastructure projects to confirm their compliance with local legislation and internal standards.

Due Diligence & Client Management:

  • Conduct thorough due diligence for potential clients while periodically reassessing existing client profiles to ensure ongoing compliance with anti-money laundering (AML) and counter-terrorism financing (CFT) protocols.

Policy Development & Documentation:

  • Regularly review and update compliance manuals and procedures, drafting new guidelines as needed to reflect the latest regulatory requirements.
  • Develop and implement new policies that reinforce our robust compliance framework.

Training & Culture:

  • Facilitate regular training sessions to ensure all team members remain current on compliance protocols.
  • Collaborate with various business units to nurture a strong compliance and governance culture through proactive awareness, engagement, and advisory initiatives.

Monitoring & Risk Management:

  • Develop and execute a comprehensive monitoring program that includes annual, enterprise-wide risk assessments.
  • Stay abreast of evolving regulatory trends and integrate new requirements into our practices promptly.
  • Support regulatory inquiries, audits, and examinations by conducting detailed investigations into compliance matters.

Licensing & Cross-Entity Collaboration:

  • Verify that all representatives meet the fit and proper criteria, and provide guidance on registration and licensing protocols.
  • Foster strong collaboration with the Group's Compliance team to maintain alignment of standards and frameworks across the organization.
  • Oversee compliance activities across all affiliated entities, ensuring uniform adherence to regulatory obligations.

Requirements:

  • Bachelor's degree in Finance, Law, Business, or a related discipline.
  • Minimum of 5 years' experience in a compliance role within capital markets or financial services.
  • In-depth knowledge of the SFA, FAA, MAS regulatory requirements, and insurance regulatory frameworks.
  • Proven expertise in managing digital asset compliance and emerging regulatory standards.
  • Exceptional analytical skills and meticulous attention to detail.
  • Excellent communication and stakeholder management abilities.
  • Professional certifications in compliance or risk management (e.g., ICA, ACAMS) are a plus.
Tell employers what skills you have

Licensing
Asset Allocation
Due Diligence
Regulatory Compliance
Analytical Skills
Legislation
Alternative Investments
Risk Management
Securities
Capital Markets
Audits
CMS
Regulatory Requirements
Stakeholder Management
Counterterrorism
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