Director/VP - Compliance Officer, Alternative Asset Management

Key Responsibilities

Regulatory Compliance

• Liaise with MAS and other regulatory bodies on regulatory filings/submissions, inspections, and reporting obligations.
• Monitor regulatory developments and ensure timely implementation of new MAS requirements, guidelines, and circulars.

Policies & Procedures

• Develop and maintain compliance policies, procedures, and internal controls to meet MAS and global regulatory requirements.
• Ensure compliance frameworks are tailored to the unique operational characteristics and risks of our investment strategies.

Monitoring & Surveillance

• Oversee the compliance monitoring and testing program, including trade surveillance, AML/CFT screening, and personal account dealing reviews where applicable.
• Conduct or coordinate with group departments on compliance reviews and internal audits
• Monitoring regulatory developments and updating internal policies accordingly.

AML/CFT & KYC

• Work closely with fund administrators and act as the designated AML Officer and/or Money Laundering Reporting Officer (MLRO), where applicable.
• Ensure adherence to MAS AML/CFT guidelines and global standards for investor onboarding and ongoing monitoring, especially in complex fund structures.

Training & Advisory

• Provide compliance advisory support to investment, operations, and distribution teams on fund structuring, product launches, and cross-border activities.
• Lead regular staff training sessions on compliance, AML, and conduct risk topics relevant to alternative investments.

Governance & Reporting

• Prepare and present regular compliance reports to the Board, CEO, and relevant committees.
• Support the risk management function and collaborate with internal/external audit teams.
• Coordinate with internal legal/compliance teams on group-level compliance activities

 

Requirements

• A bachelor’s degree with good academic results from a good university, in Law, Accounting, Business or related discipline.
• 10 years of relevant Compliance experience in financial services.  Candidates from alternative investment funds are preferred.
• Good working knowledge of the investment management industry and financial products.
• Strong analytical skills and ability to demonstrate and articulate a clear thought process in analyzing regulatory and compliance issues.  Diligent with attention to details.
• Ability to perform processes and controls using Compliance systems.
• A proactive, confident, and highly motivated person who is able to work both independently and as a member of the team and with an ability to multitask.
• Effective communication skills with clear and succinct written and oral communication and interpersonal skills.