Compliance Officer - Geylang
Geylang Full-time
Blue Edge Advisors is seeking a Compliance Officer (Junior/Mid-Level) with sharp attention to detail and the ability to manage regulatory surveys and cross-functional data. This is a critical position that supports the firm’s regulatory obligations and ensures enterprise-wide compliance.
The role plays a key part in upholding a strong culture of integrity and accountability across the organisation.
Key Responsibilities:
- 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.
- 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.
- 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.
- 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.
- 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.
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