Compliance and Risk Control Officer

Compliance Officer — Job Description

Primary responsibilities

• Manage the Corporate Compliance Program independently and objectively; report to the Regional Head of Compliance.
• Ensure employee compliance with regulatory requirements, company policies, procedures, and standards of conduct.
• Monitor and report on compliance and ethics efforts; advise on compliance matters and take action to maintain an effective programme.
• Cover compliance for Singapore’s licensed asset-management business, its activities across global jurisdictions, and support for other group subsidiaries.
• Develop, maintain, and update compliance policies and procedures; oversee daily programme operations.
• Work with legal/compliance teams, auditors, and external advisers to investigate and resolve compliance issues.
• Align with global legal and compliance teams on company-wide objectives.
• Identify compliance vulnerabilities and risks; recommend corrective actions and preventative guidance.
• Provide regular updates to senior management on compliance operations and progress.
• Ensure violations or potential violations are reported to the relevant enforcement agencies where required.
• Organise employee compliance training and awareness workshops.
• Continuously monitor and improve the effectiveness of the Compliance Program.
• Support group-affiliate projects and undertake ad-hoc duties assigned by regional or head-office Compliance leadership.

Required skills and experience

• Bachelor’s degree in accounting, finance, law, or a related discipline.
• At least 3 years’ compliance experience in the asset-management industry.
• Knowledge of MAS, SFC, SEC, and CIMA regulatory frameworks.
• Familiarity with investment funds and fund structures.
• Strong organisation, administration, communication, and interpersonal skills.
• Fluent written and spoken English.
• Strong Microsoft Word, Excel, and PowerPoint skills.
• Strong attention to detail.
• Comfortable working in an international, multicultural, and multilingual organisation.
• Positive, entrepreneurial mindset and willingness to take on multiple roles.

Preferred

• Knowledge of Singapore MAS licensing rules, codes, guidelines, and reporting.
• Familiarity with UCITS and AIFMD rules and guidelines.
• Legal drafting and documentation experience.