Compliance Officer – Asset Management
3 weeks ago
Overview
Compliance Officer – Asset Management Compliance (APAC)
Location: Singapore
Cantor Fitzgerald, a leading global financial services firm with a long-standing reputation for excellence, innovation, and integrity, is seeking a talented and experienced Senior Compliance Officer to join our dynamic Asset Management Compliance team in Singapore.
With offices and trading desks in all major financial centres worldwide, Cantor Fitzgerald provides a comprehensive suite of services to a diverse client base that includes institutional investors, corporations, government agencies, and high-net-worth individuals. We specialize in Equities, Fixed Income & Currencies, Investment Banking, Prime Services, and Real Estate. Our global platform, combined with deep market expertise and cutting-edge technology, allows us to deliver best-in-class execution, insightful research, and customized financial solutions.
The RoleAs a Senior Compliance Officer within our Asset Management aligned Compliance team, you will play a pivotal role in ensuring compliance across O’Connor’s investment management activities in APAC. This role reports jointly to the Head of Asset Management Compliance & Operational Risk Control in Singapore and the Global Chief Compliance Officer of UBS O’Connor. You will be the go-to expert for compliance matters in the region, ensuring strong alignment between O’Connor’s compliance framework and Cantor Fitzgerald’s policies and standards.
Key Responsibilities- Provide challenge and oversight to the business’ compliance risk-taking and risk assessments.
- Administer, maintain, and improve compliance policies, procedures, and processes of O’Connor, aligning them with Cantor Fitzgerald standards.
- Advise and influence investment members in APAC within O’Connor on key compliance risks and mitigation measures.
- Consult on and evaluate projects, new initiatives, business objectives, policies, procedures, processes, risk events, controls, and compliance testing/monitoring.
- Prepare periodic reporting and regulatory filings.
- Bachelor’s degree in a relevant field (MBA or JD preferred).
- 5–7 years of prior compliance experience in a hedge fund, asset manager, regulatory agency, or consulting firm covering alternative investments.
- Proven leadership experience across people, projects, and initiatives.
- Deep compliance risk knowledge, strong strategic judgment, and executive presence.
- Excellent organizational, communication, and influencing skills.
- Experience with securities regulations in APAC and US markets, with strong understanding of hedge fund compliance requirements (bank regulatory expertise a plus).
- Structured, analytical, and rigorous approach with strong judgment and resilience under pressure.
- Ability to communicate compliance views clearly, concisely, and persuasively both verbally and in writing.
- Flexible and capable of prioritizing based on changing demands.
At Cantor Fitzgerald, you’ll join a culture that values integrity, innovation, and collaboration. We provide an environment where ambitious professionals can make a real impact while working alongside some of the best talent in the industry. If you are passionate about compliance and eager to take on a leadership role in a fast-paced environment, we want to hear from you.
Agency NoticeCantor Fitzgerald & affiliates do not accept agency resumes. Please do not forward resumes to our job alias, employees, or any other company location. Cantor Fitzgerald & affiliates are not responsible for any fees related to unsolicited resumes. Please contact the Recruitment function for additional details.
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