Junior Compliance Officer

**cultivate** began out of a desire to contribute to the start-up ecosystem by providing a service that fills the void left by others; an approachable fit-for-purpose solution for founders and leaders in the tech sector.

Using innovative and collaborative approaches, we help emerging tech companies address hiring challenges and secure the best talent. And with an intimate appreciation that all companies have varying degrees of HR needs, cultivate offers a scalable and strategic approach to human resources.

**The Opportunity**: Our client specializes in identifying and investing in technology businesses that have the potential to transform industries, shape the future, and drive growth in the Asia-Pacific region.

As a Jr Compliance Officer, you will report to the Head of Legal and play a crucial role in ensuring that the operations adhere to relevant laws, regulations, and internal policies. The Jr Compliance Officer will have the opportunity to work with other senior members, including the firm’s Head of Finance and senior partners, with the opportunity to implement processes across the business.

**Your responsibilities will include**:

- Handling licensing-related matters in respect of appointment, cessation and notifications to the Monetary Authority of Singapore (“MAS”) in a timely manner, to ensure adherence to regulatory requirements.
- Providing regular status updates and reports to the Head of Legal in respect of all compliance-related matters, upcoming compliance deadlines and implementation of existing and/or new policies and procedures.
- Implementing and refining over time compliance-related firm policies and procedures that are aligned with relevant regulations and industry best practices. This would include, but is not limited to, policies related to outsourcing, business continuity planning and disaster recovery, and general AML/KYC-related compliance practices.
- Working with the firm’s business functions to conduct ongoing risk analysis on the firm using the firm’s existing risk matrix and helping coordinate regular risk committee meetings and assessments.
- Reviewing of corporate governance documents for all corporate entities (e.g., resolutions, ACRA-filings, Annual Return lodgements) and liaising with internal legal counsel, external corporate secretaries and/or consultants on the review of governance documents and records as and when required.
- Conducting KYC/due diligence on outsourced service providers and key third-party service providers and compliance reporting exercises with regulatory bodies such as the MAS.
- With the firm’s Head of Legal and senior partnership, developing dependency mapping, gap analysis, and risk assessments across the business functions.
- Working with the Head of Legal to assist in managing conflicts of interest registers (among others), in accordance with firm’s policies and on any required compliance advisory to the business in respect of any new business projects which may not align with MAS-licensing conditions or raises other regulatory concerns.

**What you will bring to the table**:

- 2-4 years of relevant experience, preferably in funds/asset management or investment setting, and experience in setting up compliance policies/processes.
- Experience across the full spectrum of compliance work in an investment setting would be advantageous (e.g., compliance, audit, FATCA/CRS/Tax, regulatory).
- Solid knowledge of regulatory requirements, especially in a fund management setting e.g. MAS regulations, Anti-Money Laundering, and Know-Your-Customer. Any Australian regulatory and/or compliance experience will be viewed favourably.
- Experience in onboarding investors and limited partners from a KYC/AML and FATCA/CRS perspective is viewed favourably.
- Strategic mindset with strong analytical skills, deep compliance and risk knowledge, and a strong sense of integrity in carrying out every task.
- Exceptional project management skills as well as good organizational skills and the ability to effectively communicate with internal and external stakeholders alike.
- Well-organised and ability to work under pressure and meet tight deadlines.