Compliance Manager

3 weeks ago

Singapore ARTA WEALTH MANAGEMENT PTE. LTD. Full time
Roles & Responsibilities

Your Role

You’ll take the lead in building and implementing our compliance program with regards to Arta's Singapore business with compliance matters relating to the Monetary Authority of Singapore (MAS) and assist the Singapore based team with compliance matters relating to the Securities and Exchange Commission (SEC, a U.S. regulator).

  • Lead the development, implementation, and refinement of the compliance program for Arta's Singapore business and ensure adherence to all MAS rules and regulations;
  • Coordinate with internal stakeholders and local compliance consultants in regards to regulatory requirements and best practices;
  • Interface with internal teams in regards to all matters relating to compliance – in particular with the marketing, product management, member success, and research teams, including as it pertains to SEC rules and regulations;
  • Develop familiarity and expertise in aspects of compliance across Arta broadly, including the U.S.-based registered investment advisor, foreign regulatory matters, broker-dealer matters, and insurance among others; and
  • Embody the culture of compliance at Arta at all times.
  • Report to the Chief Compliance Officer, Dave Wilkinson.
What You Will Do
  • Develop and implement policies and procedures for Arta's Singapore business across all topics relating to compliance;
  • Ensure any and all MAS regulatory filings or other regulatory obligations are met;
  • Familiarize and educate yourself in regards to MAS regulatory developments and how they apply across all business lines with regards to Arta's Singapore business;
  • Be a thought partner to all internal teams across Arta (in SG or elsewhere) and facilitate solutions to regulatory considerations, including SEC related matters;
  • Develop educational materials for colleagues and lead compliance trainings on MAS specific regulations and best practices;
  • Oversee compliance onboarding of new Singapore-based employees and offboarding of departing employees;
  • Assist with marketing and product reviews as they pertain to Arta’s Singapore and U.S. businesses; and
  • Provide timely responses to compliance related questions from Arta employees, business partners, and vendors as needed.
Who You Are
  • At least 5-8 years of experience in compliance roles, preferably with Fintechs;
  • Deep knowledge of MAS rules and regulations, as well as associated laws;
  • Knowledge of SEC rules and regulations, as well as associated laws;
  • Familiarity with business-to-consumer regulatory considerations and best practices;
  • Able to manage multiple projects simultaneously and pivot quickly as priorities change, comfortable with a degree of ambiguity;
  • Demonstrate excellent communication skills (written and verbal);
  • Willing to do whatever work is necessary;
  • Self-sufficient and approach your work proactively – Arta is a fast-paced startup and you need to keep up;
  • Have a general familiarity with technical concepts and their application in financial services (for example, AI generally and specifically LLMs and Machine Learning);
  • Based in Singapore.
What We Offer
  • Robust health insurance offering for you and your family
  • 20 weeks of parental leave
  • 15 days PTO annually plus national and company holidays
  • Up to SG$75 per month reimbursement for internet
  • SG$100 per month for wellness stipend

Tell employers what skills you have

Excellent Communication Skills
Machine Learning
Due Diligence
Regulatory Compliance
Risk Management
Securities
Product Management
Educational Materials
Compliance
Audits
AML
Regulatory Requirements
KYC
Health Insurance
Audit
Financial Services

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