Senior Compliance Officer

The Senior Compliance Officer plays a key role in managing and strengthening the firm’s compliance framework. The role is responsible for overseeing regulatory compliance, AML/CFT controls, surveillance activities, and regulatory reporting, while providing advisory support to business units and assisting the Head of Compliance on strategic and regulatory matters.

Key Responsibilities

• Ensure full compliance with MAS regulations, SFA requirements, and relevant Singapore laws, while advising business teams on regulatory obligations.
• Monitor regulatory changes and lead implementation of new rules, especially for new financial product launches.
• Oversee the firm’s AML/CFT and KYC framework, ensuring adherence to MAS Notices, Guidelines, and FATF standards.
• Review and approve high‑risk onboarding, EDD cases, and conduct ongoing AML/KYC monitoring, including investigating suspicious activities and supporting STR processes.
• Develop, maintain, and enhance compliance policies, procedures, and internal controls, including performing monitoring, thematic reviews, and control testing.
• Manage regulatory reporting and act as a key contact for MAS inspections, audits, and regulatory inquiries.
• Oversee trade surveillance and monitoring of client activities, ensuring timely escalation of unusual or suspicious behaviour.
• Support leadership initiatives, assist the Head of Compliance, mentor junior staff, and deliver firmwide compliance training.

Requirements

• At least 7 years of compliance experience in a broker‑dealer or CMSL‑licensed firm.
• Strong understanding of MAS regulations, SFA, FATF standards, and Singapore AML/CFT laws.
• Hands‑on experience with compliance monitoring, AML, and trade surveillance systems.
• Proven experience in regulatory reporting and interacting directly with MAS and Exchanges.
• Strong analytical ability, attention to detail, and capacity to manage multiple deadlines in a fast‑paced environment.
• Excellent communication skills in English and Chinese, with strong stakeholder‑management capability.

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