Senior Compliance Manager

7 days ago

Singapore Rockstead Capital Full time

Rockstead Capital was established in 2005. We believe in building long-term relationships, aligning to our clients' interests, and protecting the trust placed in us. By providing bespoke asset management and legacy planning services to individuals and families, we protect and grow their wealth. We are a Licensed Fund Management Company (LFMC) under the regime of Monetary Authority of Singapore (MAS). Job Description Senior Compliance Manager will oversee and manage our comprehensive compliance framework. This role is critical in ensuring adherence to all regulatory requirements set forth by the Monetary Authority of Singapore (MAS) and maintaining robust risk management practices across our operations. Key Responsibilities Compliance Management Oversee daily compliance operations, including monitoring activities and managing regulatory filings. Develop and maintain compliance policies in line with MAS and CMS requirements. Track regulatory changes, maintain the compliance register, and ensure timely reporting and adherence to obligations (MAS, management, other regulatory bodies). Client Onboarding & KYC Oversee client onboarding process, ensuring all KYC/AML requirements are fulfilled Review and approve client documentation for completeness and accuracy Conduct enhanced due diligence on high-risk clients and ensure appropriate risk ratings Maintain client files and ensure periodic reviews are conducted as per policy Identify, assess, and monitor business, operational, and compliance risks Develop and implement risk mitigation strategies and controls Monitor investment limits, restrictions, and mandate compliance Policy Development & Training Draft and update compliance policies, procedures, and internal controls Develop and deliver compliance training programs for staff, fostering a culture of compliance awareness throughout the organization Provide guidance and support to business teams on compliance matters Regulatory Relations Serve as the primary point of contact for regulatory inquiries and inspections Manage relationships with MAS and other regulatory bodies Coordinate responses to regulatory requests and examinations Reporting & Documentation Prepare monthly, quarterly, and annual compliance reports for management and board Document compliance breaches, incidents, and remediation actions, maintaining comprehensive records of compliance activities and decisions Support internal and external audit processes Required Qualifications Bachelor's degree in Finance, Business, Law, or related field Professional certifications such as CAMS, CFE, or equivalent highly preferred Circa 8 years of compliance experience in the financial services industry, ideally within hedge fund, asset management, or CMS-licensed environment Experienced managing regulatory relationships and inspections Strong understanding of MAS regulations, SFA, FAA, and related guidelines #J-18808-Ljbffr

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