Senior Compliance Officer, External Asset Management

2 weeks ago

Singapore Perennial HR Full time

Senior Compliance Officer, External Asset Management Job Description: Our client is a Capital Markets Services (CMS) licensed firm specializing in Fund Management and External Asset Management (EAM) services for High-Net-Worth Individuals (HNWIs), Ultra-High-Net-Worth Individuals (UHNWIs), Accredited Investors, and Family Offices. With a strong entrepreneurial culture and a growing presence in Asia, the firm is committed to delivering bespoke wealth management solutions and upholding the highest standards of regulatory compliance. Key Responsibilities & Requirements: Lead the development, implementation, and ongoing refinement of the firms compliance policies, procedures, and internal control framework to ensure alignment with regulatory standards and internal risk appetite. Oversee all regulatory filings, surveys, and renewals; maintain timely and accurate reporting to the Monetary Authority of Singapore (MAS) and other relevant bodies. Provide expert guidance on regulatory compliance matters across the business, particularly in AML/CFT, KYC, client onboarding, and financial advisory practices. Conduct routine compliance reviews, name screening, and investigations into suspicious activities, and manage the preparation and filing of Suspicious Transaction Reports (STRs). Stay informed on evolving regulatory developments under the SFA, FAA, and other MAS guidelines; proactively implement necessary changes and keep management updated. Coordinate internal and external audits, address findings, and drive corrective actions to strengthen compliance and operational risk management. Deliver ongoing compliance training to internal stakeholders to foster a culture of compliance awareness and accountability. Work closely with internal teams and external partners to ensure a robust and efficient compliance function across all touchpoints. Ideal Candidate Profile: Degree in Law, Finance, or related discipline; relevant compliance certifications preferred. Minimum 8 years of relevant compliance experience in the financial sector, ideally within an EAM/ IWM setup. In-depth understanding of MAS regulations, particularly SFA, FAA, AML/CFT frameworks. Highly ethical, with strong interpersonal, analytical, and problem-solving skills. Proven ability to work independently in a fast-paced, entrepreneurial environment. #J-18808-Ljbffr

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