Bukit Merah - Compliance Officer

The role plays a key part in upholding a strong culture of integrity and accountability across the organisation.

Key Responsibilities:

1. Compliance Framework:

• Develop, maintain, and update compliance policies and procedures in accordance with MAS and NFA guidelines and regulatory expectations.
• Continuously review and enhance internal processes to ensure compliance, incorporating changes from regulatory developments and industry best practices.

1. Regulatory Liaison:

• Serve as a key point of contact for MAS, NFA, auditors, and other external stakeholders.
• Coordinate the management of regulatory inspections, audits, and reviews, and ensure timely resolution of any issues raised.

1. Monitoring and Reporting:

• Ensure all firm and representative licenses and registrations are current and compliant with MAS and NFA requirements.
• Maintain up-to-date records on employee personal trading, external directorships, and outside business activities.
• Coordinate and submit approximately 40 regulatory surveys annually, including MAS, NFA, and internal reports—this requires cross-departmental coordination, data compilation, and the ability to interpret and validate numerical information.

1. AML/CFT Oversight:

• Perform KYC/AML checks and periodic client reviews in accordance with AML/CFT regulations.
• Organize and deliver AML training sessions and contribute to firm-wide risk assessments to strengthen controls.

1. Advisory and Legal Review:

• Support senior management by providing practical advice on compliance and regulatory risk matters.
• Review contracts, offering documents, and operational agreements to ensure alignment with the firm’s policies and regulatory obligations.

Qualifications:

• Diploma or higher in Law, Risk Management, Finance, or a related field.
• Good understanding of MAS regulations and compliance practices, with hands-on experience interpreting and applying them.
• Proven ability to manage multiple deadlines, especially high-frequency regulatory surveys and reporting cycles.
• Strong numerical reasoning skills; ability to deduce insights from financial figures and data with precision.
• Critical and creative thinker with a structured, analytical mindset and a proactive approach to problem-solving.
• Excellent communication and interpersonal skills; able to collaborate across departments and with external stakeholders.