Compliance Officer
5 days ago
Overview
Compliance Officer – Asset Management Compliance (APAC)
Location:
Singapore
Cantor Fitzgerald, a leading global financial services firm with a long-standing reputation for excellence, innovation, and integrity, is seeking a talented and experienced Senior Compliance Officer to join our dynamic Asset Management Compliance team in Singapore.
With offices and trading desks in all major financial centres worldwide, Cantor Fitzgerald provides a comprehensive suite of services to a diverse client base that includes institutional investors, corporations, government agencies, and high-net-worth individuals. We specialize in Equities, Fixed Income & Currencies, Investment Banking, Prime Services, and Real Estate. Our global platform, combined with deep market expertise and cutting-edge technology, allows us to deliver best-in-class execution, insightful research, and customized financial solutions.
The Role
As a Senior Compliance Officer within our Asset Management aligned Compliance team, you will play a pivotal role in ensuring compliance across O’Connor’s investment management activities in APAC. This role reports jointly to the Head of Asset Management Compliance & Operational Risk Control in Singapore and the Global Chief Compliance Officer of UBS O’Connor. You will be the go-to expert for compliance matters in the region, ensuring strong alignment between O’Connor’s compliance framework and Cantor Fitzgerald’s policies and standards.
Key Responsibilities
Provide challenge and oversight to the business’ compliance risk-taking and risk assessments.
Administer, maintain, and improve compliance policies, procedures, and processes of O’Connor, aligning them with Cantor Fitzgerald standards.
Advise and influence investment members in APAC within O’Connor on key compliance risks and mitigation measures.
Consult on and evaluate projects, new initiatives, business objectives, policies, procedures, processes, risk events, controls, and compliance testing/monitoring.
Prepare periodic reporting and regulatory filings.
What We’re Looking For
Bachelor’s degree in a relevant field (MBA or JD preferred).
5–7 years of prior compliance experience in a hedge fund, asset manager, regulatory agency, or consulting firm covering alternative investments.
Proven leadership experience across people, projects, and initiatives.
Deep compliance risk knowledge, strong strategic judgment, and executive presence.
Excellent organizational, communication, and influencing skills.
Experience with securities regulations in APAC and US markets, with strong understanding of hedge fund compliance requirements (
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