Regulatory Compliance Officer – Wealth and Securities Firm, Singapore

The Role My client is a global Wealth and Securities firm and we are looking for a Regulatory Compliance expert in the Singapore office. You will be the subject matter expert of the compliance function and will act as a key partner to the business on regulatory, risk, and governance matters.
Responsibilities Oversee day-to-day compliance operations, including monitoring activities and regulatory obligations Maintain and enhance compliance policies, procedures, and internal controls in line with MAS expectations Act as the key compliance authority for client onboarding, reviewing KYC/AML documentation and higher-risk cases Conduct enhanced due diligence and ensure ongoing client reviews are performed in accordance with internal policies Identify and assess compliance and operational risks, and implement appropriate mitigation measures Monitor adherence to investment mandates, limits, and regulatory restrictions Serve as the primary point of contact for regulators, including handling inspections and regulatory queries Prepare regular compliance reports for senior management and the board Support internal and external audits, investigations, and remediation initiatives Deliver compliance training and provide ongoing advisory support to business teams
Requirements Bachelor's degree in Finance, Business, Law, or a related discipline Approximately 5+ years of compliance experience within Banking, Wealth, and CMS licensed firm Strong working knowledge of Singapore regulatory requirements under the SFA/FAA framework Proven experience managing regulatory engagement and inspections Strong communication skills and ability to work closely with senior stakeholders
WT EA Personnel No R1985201 BeathChapman Pte Ltd Licence No 16S8112