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- Tasks: Ensure compliance with regulations and provide practical advice to teams on fund management activities.
- Company: Join a leading Singapore-licensed LFMC with a focus on compliance and risk management.
- Benefits: Competitive salary, professional development opportunities, and a dynamic work environment.
- Why this job: Make a real impact in the financial sector while developing your compliance expertise.
- Qualifications: 3-6 years of compliance experience and a degree in Law, Business, or Finance.
- Other info: Opportunity to engage with stakeholders and enhance your regulatory knowledge.
The predicted salary is between 36000 - 60000 £ per year.
The Compliance Officer will be responsible for the day-to-day implementation and oversight of the compliance framework of a Singapore-licensed LFMC, ensuring compliance with the Securities and Futures Act (SFA) and applicable MAS Notices, Guidelines, and Circulars, as well as supporting the firm’s risk management framework. The role requires a hands-on compliance professional with practical experience in fund management operations and regulatory compliance.
Key Responsibilities
- Regulatory Compliance & Advisory: Implement and maintain the LFMC’s compliance framework in accordance with applicable Singapore regulations, including SFA, MAS Notices, Guidelines, and Circulars applicable to LFMCs. Provide practical, business-oriented compliance advice to investment, operations, and management teams on fund management activities, including marketing and distribution arrangements, conflicts of interest and personal account dealing. Act as a key point of contact for routine MAS interactions, regulatory filings, and ad-hoc queries.
- Policies, Procedures & Controls: Draft, review, and update internal compliance policies and procedures, including the compliance manual, risk management framework, AML/CFT policies etc. Support the implementation and operation of the firm’s risk management framework in accordance with MAS expectations. Ensure policies are operationally embedded and aligned with actual business practices.
- Monitoring, Reviews & Reporting: Conduct periodic compliance monitoring and testing, including personal account dealing checks, review of marketing materials and disclosures, and outsourcing and service provider oversight. Support AML/CFT controls, including CDD oversight, sanctions screening, and STR escalation processes. Maintain risk registers and support periodic risk assessments and reviews. Prepare compliance reports for senior management.
- Training and Know-hows: Deliver compliance training to staff on regulatory obligations and internal policies and conduct standards. Monitor regulatory developments issued by MAS and assess their impact on the firm. Assist in implementing regulatory changes in a timely and proportionate manner.
Key Requirements
- 3–6 years of relevant compliance experience in Singapore
- Strong knowledge of SFA and MAS Notices applicable to LFMCs, and AML/CFT requirements in Singapore
- Exposure to risk management frameworks and risk reporting within a regulated financial institution would be a plus
- Bachelor’s degree in Law, Business, Finance, or a related discipline
Skills & Attributes
- Practical, detail-oriented, and able to work independently
- Comfortable dealing with day-to-day compliance matters
- Strong written and verbal communication skills. Business proficiency in Mandarin is preferred as this role will engage with stakeholders whose usual business language is Mandarin
- Able to interact confidently with business teams and external stakeholders
- Good judgment, integrity, and a solutions-oriented mindset
Compliance Officer in Penarth employer: BASE COMPASS ASSET MANAGEMENT PTE. LTD.
Contact Detail:
BASE COMPASS ASSET MANAGEMENT PTE. LTD. Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer in Penarth
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field and let them know you're on the lookout for opportunities. You never know who might have the inside scoop on a job opening or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of the SFA and MAS regulations. Be ready to discuss how your experience aligns with the compliance framework and risk management practices. Show them you mean business!
✨Tip Number 3
Don’t just apply anywhere; focus on firms that align with your values and career goals. Use our website to find roles that excite you, and tailor your approach to each company’s culture and compliance needs.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Mention something specific from your conversation to show you were engaged and are genuinely interested in the role.
We think you need these skills to ace Compliance Officer in Penarth
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Officer role. Highlight your relevant experience in regulatory compliance and fund management operations, as well as any specific knowledge of the SFA and MAS Notices. We want to see how your background aligns with what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your skills can benefit us at StudySmarter. Be sure to mention any hands-on experience you've had that relates directly to the responsibilities outlined in the job description.
Showcase Your Communication Skills: Since strong written communication is key for this role, make sure your application is clear and concise. Use professional language but keep it friendly. We appreciate a good balance of professionalism and approachability in our team members!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you get all the updates directly from us. Plus, it shows you're keen on joining the StudySmarter family!
How to prepare for a job interview at BASE COMPASS ASSET MANAGEMENT PTE. LTD.
✨Know Your Regulations
Make sure you brush up on the Securities and Futures Act (SFA) and the relevant MAS Notices, Guidelines, and Circulars. Being able to discuss these regulations confidently will show that you're not just familiar with compliance but that you can apply this knowledge practically in your role.
✨Showcase Your Experience
Prepare specific examples from your past roles where you've successfully implemented compliance frameworks or handled regulatory issues. This will help demonstrate your hands-on experience and how it aligns with the responsibilities of the Compliance Officer position.
✨Communicate Clearly
Since strong communication skills are essential for this role, practice articulating your thoughts clearly and concisely. Be ready to explain complex compliance concepts in a way that’s easy to understand, especially if you need to engage with stakeholders who may not have a compliance background.
✨Be Solutions-Oriented
During the interview, highlight your problem-solving skills by discussing how you've tackled compliance challenges in the past. Employers love candidates who can think critically and provide practical solutions, so come prepared with examples that showcase your judgment and integrity.
