Senior Compliance and Officer (Finance)

TL;DR

Senior Compliance and Officer (Finance): Managing and implementing Compliance and Risk Management Frameworks for a global investment manager with an accent on regulatory obligations in Singapore and Hong Kong. Focus on overseeing compliance monitoring programs, coordinating risk assessments, and ensuring adherence to MAS and SFC regulations.

Location: Based in Singapore (Hybrid)

Company

A global investment manager applying advanced financial science to equity and fixed income investment strategies.

What you will do

• Develop and maintain compliance monitoring programs and systems to embed compliance within business operations.
• Identify and analyze compliance obligations for Singapore and Hong Kong operations, seeking legal advice where necessary.
• Review and sign off on marketing materials for regional institutional and advisor clients.
• Monitor regulatory reforms and industry developments to implement updated policies and employee training.
• Coordinate risk assessments and maintain risk registers in collaboration with global risk teams.
• Manage incidents, complaints, and breaches while preparing compliance reports for management and the Board.

Requirements

• 10–12 years of experience in compliance or risk roles with a global investment manager.
• Strong knowledge of Singapore (MAS) and Hong Kong (SFC) regulatory regimes.
• Expertise in AML/CTF regulation, specifically client due diligence and ongoing monitoring.
• Bachelor's degree in finance, legal, accounting, or a related field.
• Must be based in Singapore.

Nice to have

• Direct experience working with MAS and SFC regulators.
• Familiarity with Charles River or similar order entry systems.

Culture & Benefits

• Hybrid working model permitting 2 days of remote work per week.
• Subsidized health insurance for individuals and family.
• Reimbursement for pre-approved studies (e.g., CFA) via Global Education Assistance Policy.
• Access to mental health and wellbeing support through an Employee Assistance Program.
• Life insurance and health/fitness incentive programs.