Compliance Officer

4 days ago

Central Region, Singapore e9b17ed7-008a-44e6-9d30-e4a4bf1f9a03 Full time $80,000 - $120,000 per year

My client is one leading Chinese Quantitative Fund and now is looking for one Compliance Officer / Manager in Singapore.

Key Responsibilities

Regulatory Compliance & Monitoring:

Assist in the ongoing monitoring of the firm's compliance with the MAS Securities and Futures Act (SFA), Financial Advisers Act (FAA), and relevant notices and guidelines.

Conduct daily and periodic trade surveillance to detect potential market abuse, insider trading, and other regulatory breaches, utilizing our automated surveillance systems.

Monitor and ensure adherence to position limits, short-selling rules, and other exchange-specific requirements.

Assist in the preparation and submission of regulatory filings and reports to the MAS (e.g., AML/CFT returns, regulatory surveys). Policies & Procedures:

Help maintain and update the firm's Compliance Manual, policies, and procedures to reflect changes in regulations and business activities.

Assist in developing and implementing compliance-related training programs for employees. Risk Assessment & Controls:

Conduct periodic compliance risk assessments.

Test the effectiveness of key internal controls and compliance procedures.

Manage the Personal Account Dealing and Gifts & Entertainment registers. Anti-Money Laundering (AML)/Countering the Financing of Terrorism (CFT):

Perform client onboarding due diligence (CDD) and ongoing reviews for investors and counterparties.

Screen clients and transactions against sanctions, PEP, and adverse media lists.

Assist in investigating and reporting any suspicious transactions. Advisory & Business Partnership:

Provide timely and practical compliance advice to the investment and technology teams on new products, strategies, and initiatives.

Review marketing materials, research reports, and client communications to ensure compliance with regulatory standards.

Qualifications and Experience

Bachelor's degree in Law, Finance, Accounting, Business, or a related field.

2-7 years of relevant compliance experience within a MAS-regulated financial institution, preferably in asset management, hedge funds, or proprietary trading.

Strong understanding of key MAS regulations applicable to fund managers (e.g., SFA, FAA, AML/CFT requirements).

familiarity with quantitative trading strategies and the associated compliance risks (e.g., algorithmic trading, market manipulation risks) is a significant advantage.

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