Senior Compliance Manager, External Asset Manager

6 days ago

Singapore PERENNIAL HR PTE. LTD. Full time

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 firm’s 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.
- 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.

EA No 23S1936 Reg No R24124819

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