147 Compliance Manager jobs in Singapore
Compliance Manager/Senior Compliance Manager
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Company Overview:
Mitrade is an award-winning global Contract for Difference (CFD) and forex broker, regulated by authorities in Australia (ASIC), Cyprus (CySec), the Cayman Islands (CIMA), and Mauritius (FSC). We were founded in Melbourne, Australia and have offices worldwide.
Leveraging our proprietary in-house state-of-the-art technology, Mitrade has developed a one-stop digital trading platform tailored for investors. We offer market data, news, and analysis, as well as trading and risk management services within a comprehensive user-centric FinTech ecosystem. Serving more than five million users globally, Mitrade is accessible via various platforms such as mobile (iOS and Android), desktop applications, and web browsers.
Role Summary:
We are seeking an experienced Compliance Manager to provide strategic oversight and technical support to our group Compliance team. This role combines deep domain knowledge with business acumen from Group Compliance to provide support and guidance to respective licensed entities, optimize KYC processes and drive continuous improvement in our Group Compliance operations.
If you're a strategic thinker with strong knowledge in regulatory compliance framework and AML/CFT regulations who can balance the regulatory requirements with business objectives, we invite you to join us in shaping the future of digital finance
This role reports to the Vice President who based in Singapore and works closely with the Group Compliance in our offices to drive excellence in our global Compliance and KYC/AML operations.
What would be your Responsibilities:
- Support and advise the business on various regulatory compliance matters pertaining to regulatory requirements from the respective licensed entity.
- Develop and maintain comprehensive regulatory compliance policies, procedures, and verification methods, incorporating jurisdiction-specific requirements and industry best practices.
- Partner with business teams to develop practical solutions that enhance growth while ensuring compliance in regulations in respective licensed jurisdictions.
- Serve as the subject matter expert for all KYC/AML matters, providing strategic guidance, escalation support and guidance for complex cases.
- Oversee and optimize KYC and AML sanction screening operations through any possible resources and support, ensuring efficient processes across all licensed jurisdictions.
- Analyse operational metrics and conversion data to drive process improvements and enhance customer experience.
- Lead system enhancement initiatives, collaborating with IT teams and solution providers to optimize CDD on-boarding platforms, workflows and other compliance framework.
- Refine and improve KYC and CDD on-boarding processes through collaboration with stakeholders to improve conversions.
- Design and deliver training programs to enhance team capabilities and ensure consistent standards across global operations.
- Support the Compliance Director in ad-hoc matters in the Group.
What we Require from you:
- Minimum 4 years of regulatory compliance experience in financial services, with demonstrated expertise in regulatory requirements and industry best practices
- Strong understanding of global regulations and compliance frameworks in licensed jurisdictions and emerging trends in digital finance
- Experience in leading, managing or working with overseas teams
- Experience in financial services industry, particularly in CFD/forex trading (preferred)
- Proven track record in process optimization and system enhancement projects
- Excellent analytical and problem-solving skills
- Strong business acumen and ability to balance risk and business objectives
- Excellent command of both written and spoken Chinese and English, with the ability to communicate effectively and professionally with Chinese-speaking counterparts who converse only in Mandarin Chinese, across regional offices.
- Mitrade is at the cutting edge of FinTech with a team that excels in a fast-paced, collaborative environment. We seek analytical thinkers and executors with a data-driven approach, capable of managing complex multistakeholder projects and adapting to technological advancements.
What You Can Look Forward To:
- Competitive compensation package.
- Career growth and personal development within a growing global organization.
- A flat organizational structure that values collaboration and transparency.
Compliance Manager
Posted today
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Job Description
The Methodist Church in Singapore (MCS) is a connectional church comprising the General Conference, three Annual Conferences, local churches, and various agencies and organisations. The General Conference (GC) is the highest body of the MCS, responsible for legislation, policy, and the overseeing of its various agencies, including the programme agencies responsible for education, missions, and welfare services.
We have a vacancy for Compliance Manager.
Responsibilities and Duties
- Provide overall supervision on compliance matters and assist with compliance-related advice to MCS agencies.
Manage compliance with legislations governing charities, regulatory requirements and internal policies.
Facilitate the management of compliance risk by the effective embedment of the compliance methodology and furnishing advice and guidance relating to compliance issues of strategic nature
- Map and/or align the prescriptive sections per legislations and regulatory requirements with the array of controls the organisation has to implement over time.
Communicate changes to the legislations governing charities and regulatory requirements.
Identify, assess and communicate promptly.
- Inform affect areas and/or departments if such developments have an impact on existing processes.
- Assist the organisation to identify changes needed.
- Provide advice in all areas of compliance.
Oversee the development and maintenance policies and procedures.
Manage and evaluate the compliance risk profile of the activities conducted by the operation or the business unit.
- Assess the impact of additional and listed controls on the overall risk level associated with these activities.
Design or update internal policies to mitigate the risk of the organisation.
Partner with operational areas to formulate best-practice procedures that are balanced to meet the needs of the organisation, stakeholders and regulators.
Work closely with department heads on audit issues.
Identify weaknesses in the processes and controls that are in place, from the perspective both of those found to be insufficient and those that are found to be over-prescriptive.
Oversee continual monitoring and review of compliance procedure to help identify possible areas where improvements could be made.
Implement and maintain monitoring programme to provide management with some assurance that key risks are being adequately managed within the organisation.
Apprise senior management informed of both internal and/or external issues and progress.
Provide regular reporting on key areas of risk.
Attend to matters assigned by supervisor to support work for Council of Governance, MCS entities etc.
Job Requirements
- Diploma or Degree from an established tertiary institution or certification from recognised bodies such as International Register of Certified Auditors (IRCA)
- 7 years or above or equivalent of relevant experiences.
- Working experience in risk and compliance related areas e.g. banks, insurance companies or non-profit and religious organisations; preferably at managerial position.
- Familiar with Companies Act, Charities Act, Personal Data Protection Act and other relevant statutes.
- Able to multi-task, work independently and prioritise to meet deadlines.
- Excellent spoken and written communication skills. Able to communicate effectively across many levels of committees headed by clergy and laity.
To apply for the above vacancy, please send us a copy of your resume.
Please indicate the following information in your resume:
- Current & expected salary
- Reason(s) for leaving
- Availability to commence work
We regret that only shortlisted candidates will be notified. All applications will be treated with the strictest confidence. By submitting any application or resume to us, you will be deemed to have agreed and consented to us collecting, using, retaining and disclosing your personal information for the processing of your job application.
Compliance Manager
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The Compliance Manager will be responsible for overseeing the firm's ISO 27001, Data Protection Trustmark (DPTM), and Cyber Trustmark (CTM) certification processes. This role ensures compliance with industry information security, data privacy, and risk management standards. The individual will work closely with internal teams, internal and external auditors, and regulatory bodies to develop and maintain compliance frameworks, policies, and audit readiness.
Key Responsibilities:ISO 27001, DPTM & Cyber Trustmark Compliance
- Lead the firm's ISO 27001 implementation & certification process, including gap assessments, risk analysis, and internal audits.
- Oversee compliance efforts for SS714:2025 / DPTM (PDPA compliance) and Cyber Trustmark (cybersecurity best practices).
- Develop and implement information security policies, standard operating procedures, and controls aligned with regulatory frameworks.
- Coordinate external audits and assessments for certification bodies and regulators.
Governance, Risk & Compliance
- Support leadership with the implementation and oversight of necessary Governance, Risk & Compliance for areas such as information security, data privacy, and cyber resilience.
- Support leadership and the IT/Digital department with management of data classification, retention, and security protocols, ensuring adherence to PDPA and ISO 27001 requirements.
- Conduct internal risk assessments, vendor risk evaluations, and third-party due diligence.
- Establish a compliance monitoring and reporting mechanism for key stakeholders and leadership.
- Maintaining and updating of Risk Register, identifying potential risks, and implementing mitigation strategies
Policy Development & Awareness
- Maintain IT security, data protection, and cybersecurity policies.
- Work with IT and Cyber teams for regular training and awareness programs for employees on ISO 27001, PDPA, cybersecurity best practices, and regulatory requirements.
- Drive a compliance-first culture across the organization.
Incident & Audit Management
- Oversee the firm's incident response plan, ensuring compliance with ISO 27001's ISMS requirements and PDPA's data breach notification guidelines.
- Work with Legal, IT, and Risk teams to ensure data privacy and cybersecurity policies are enforced.
- Lead pre-certification audits, internal compliance assessments, and security gap analysis.
Stakeholder & Regulatory Engagement
- Act as the key liaison between the firm, auditors, certification bodies, and regulators.
- Provide regular reports and updates to senior management on compliance progress and risk exposure.
- Stay updated on evolving cybersecurity threats, regulatory changes, and industry best practices
Qualifications & Experience:
- Bachelor's degree in Information Security, Cybersecurity, Risk Management, Law, or Business Administration.
- 5+ years of experience in compliance, information security, IT governance, or risk management.
- Experience with ISO 27001, PDPA (DPTM), Cyber Trustmark, NIST, or MAS TRM frameworks is a plus.
- Experience working in Professional Services, Consulting, or Big 4 environments is a plus.
Technical & Soft Skills:
- Experience conducting internal security audits and compliance assessments.
- Excellent stakeholder management, communication, and project leadership skills.
- Ability to work cross-functionally with Legal, IT, Risk, and Business teams.
Compliance Manager
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Position Summary
Your main responsibilities are to lead and design regulatory compliance strategies and implement our programs for all compliance topics, such as Licensing, Transaction Monitoring, Sanctions Screening, Reporting. You will also play the role as Money Laundering Reporting Officer.
Job Description
- Advise and support the business on all compliance matters and ensure the business is in alignment with license requirements locally
- Act as the liaison officer with MAS and regulatory bodies, as well as facilitate internal and external compliance audits
- Develop and formulate Group AML/CFT policy, standards and operating procedures & controls and ensure effective implementation of the program firm-wide
- Work with technology and product teams in assessing and mitigating technology risk and regulatory risks
- Conduct reviews on the adequacy and relevance of regulatory and compliance strategies, policies and frameworks, and oversee enhancements to address control deficiencies.
- Implement and conduct regular compliance training programs on an ongoing basis to educate staff on the relevant regulatory developments, compliance policies and procedures
- Advise and ensure AML and CTF requirement fulfilment for new product and service developments
- Preparing appropriate compliance reports with regulatory agencies
Job Requirements
- 8+ years of relevant experience in compliance roles of scope (AML/CFT, compliance in financial services industries)
- Minimum Bachelor's Degree in Accounting, Commerce, Business, Finance or Law
- AML specialist certification with a recognized institution/association of a recognized professional body, would be advantageous
- Good verbal and written communication skills to inform and educate employees, and also to file correct and accurate compliance reports with regulating agencies
- Broad exposure to APAC region compliance issues
- Experience in developing and administering internal controls and processes
- Ability to work collaboratively with a broad range of business functions
Compliance Manager
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Job Description
About Aster
Aster Chemicals and Energy (Aster) is a leading provider of chemical and energy solutions in Singapore and Southeast Asia. Aster is a joint venture led by Chandra Asri in partnership with Glencore Group. Building on the foundations of Singapore's first oil refinery, our facilities on Pulau Bukom and Jurong Island serve as the nation's hub for integrated refining and petrochemical production. Aster Bukom operates a 237,000 barrels per day refinery and a 1.1 million tonne per year ethylene cracker, while Aster Jurong Island produces essential petrochemicals that support industries across the region.
With over 60 years of heritage, Aster is shaping the future by driving progress and creating new opportunities for our people. From advancing energy solutions to driving petrochemical innovation, we welcome you to join us in our journey that reflects our commitment to sustainability and operational excellence in an evolving industry landscape.
Together, we can achieve more—come be a part of it.
About the job
The Compliance Manager will be responsible for overseeing and ensuring the company's adherence to regulatory standards wherever Aster operates and does business, while also promoting a culture of compliance within the organization. This role is critical in maintaining our commitment to ethical business practices and risk mitigation, while ensuring that compliance initiatives are practical and balanced.
Job Responsibilities:
- Implementing Corporate Compliance Program: Implement and execute the corporate compliance program for Aster. Ensure the program's alignment with local requirements and circumstances.
- Policy Adaptation: Customize Aster's compliance policies and guidelines to suit the specific needs of the organization, taking into account local nuances and regulatory requirements.
- Policy Roll-out: Facilitate the deployment of policies and guidelines, ensuring their effective dissemination and understanding within the organization.
- Team Management and Training: Lead and oversee a team of compliance officers, providing guidance, training, and support to ensure efficient compliance operations within Aster.
- Stakeholder Interaction: Maintain effective communication and collaboration with compliance staff, colleagues from business units and other control functions, as well as employees and management across all business units, fostering a culture of compliance and accountability.
- Regulatory Awareness: Stay informed about evolving regulatory developments and emerging best practices, and ensure that the organization is prepared to meet these standards.
- Risk Assessments: Conduct thorough risk assessments specific to compliance-related matters within Aster, identifying potential risks and proposing strategies for mitigation.
- Compliance Advisory: Offer guidance and advice to business units on day-to-day compliance-related matters, assisting in decision-making and issue resolution.
- Training and Awareness: Develop and deliver compliance training programs for the organization, raising awareness and ensuring employees are well-versed in compliance-related matters.
Job Requirements:
- A bachelor's degree or higher in a field related to law, auditing, risk management, or a similar discipline.
- A minimum of 8 years of relevant compliance experience in a similar role.
- Demonstrated general knowledge and understanding of compliance issues, particularly in areas related to anti-corruption, sanctions, and industry-specific regulatory requirements.
- Strong familiarity with compliance issues, particularly in areas related to anti-corruption and sanctions, and a proven ability to address these concerns effectively.
- Self-motivated, enthusiastic, and a dedicated team player who can work effectively with others. Possesses an independent and flexible work attitude, excels under pressure, and approaches challenges with a problem-solving mindset.
- Strong written and verbal communication skills, enabling clear and effective interaction with various stakeholders.
Work Location: mTower
We thank you for your interest. Kindly note that only shortlisted candidates will be contacted for a discussion.
Compliance Manager
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Job Description
About WSPN
WSPN is a global fintech company building the next-generation payment and stablecoin infrastructure. We are committed to innovation with compliance at the core, ensuring that our financial solutions meet the highest international standards. With operations across Asia, Europe, and the U.S., we are scaling rapidly and seeking leaders who want to shape the future of global finance.
Your Role
As Compliance Manager in Singapore, you will take the lead in ensuring our operations meet local and international regulatory standards. This is a senior and strategic role, reporting directly to the global leadership team, with the mandate and resources to establish a strong compliance culture from day one.
You will:
- Serve as the licensed Compliance Officer for our local entity, responsible for TCSP (Trust or Company Service Provider) obligations.
- Act as MLRO (Money Laundering Reporting Officer) if qualified/approved, overseeing AML/CTF frameworks, reporting, and training.
- Design and implement compliance frameworks, policies, and monitoring programs in line with regulatory expectations.
- Engage with regulators, auditors, and external advisors, representing the company in all compliance matters.
- Build and mentor the compliance team as our operations expand.
- Partner with global leadership to align regional compliance strategy with international best practices.
Qualifications & Requirements
- Bachelor's degree in Law, or related field.
- At least 7+ years of compliance, legal, or regulatory experience in financial institutions, fintech, or regulated entities.
- Proven experience with TCSP compliance in Hong Kong or Singapore.
- Certified MLRO or eligibility to be approved by regulators as MLRO (preferred).
- Strong knowledge of AML/CTF frameworks, FATF recommendations, and local regulatory requirements.
- Excellent communication and stakeholder management skills, with ability to engage regulators confidently.
- Mandarin proficiency is an advantage
Compliance Manager
Posted today
Job Viewed
Job Description
The Methodist Church in Singapore (MCS) is a connectional church comprising the General Conference, three Annual Conferences, local churches, and various agencies and organisations. The General Conference (GC) is the highest body of the MCS, responsible for legislation, policy, and the overseeing of its various agencies, including the programme agencies responsible for education, missions, and welfare services.
We have a vacancy for Compliance Manager.
Responsibilities and Duties
Provide overall supervision on compliance matters and assist with compliance-related advice to MCS agencies.
Manage compliance with legislations governing charities, regulatory requirements and internal policies.
- Facilitate the management of compliance risk by the effective embedment of the compliance methodology and furnishing advice and guidance relating to compliance issues of strategic nature
Map and/or align the prescriptive sections per legislations and regulatory requirements with the array of controls the organisation has to implement over time.
Communicate changes to the legislations governing charities and regulatory requirements.
- Identify, assess and communicate promptly.
- Inform affect areas and/or departments if such developments have an impact on existing processes.
- Assist the organisation to identify changes needed.
Provide advice in all areas of compliance.
Oversee the development and maintenance policies and procedures.
- Manage and evaluate the compliance risk profile of the activities conducted by the operation or the business unit.
- Assess the impact of additional and listed controls on the overall risk level associated with these activities.
Design or update internal policies to mitigate the risk of the organisation.
Partner with operational areas to formulate best-practice procedures that are balanced to meet the needs of the organisation, stakeholders and regulators.
- Work closely with department heads on audit issues.
Identify weaknesses in the processes and controls that are in place, from the perspective both of those found to be insufficient and those that are found to be over-prescriptive.
Oversee continual monitoring and review of compliance procedure to help identify possible areas where improvements could be made.
Implement and maintain monitoring programme to provide management with some assurance that key risks are being adequately managed within the organisation.
Apprise senior management informed of both internal and/or external issues and progress.
Provide regular reporting on key areas of risk.
Attend to matters assigned by supervisor to support work for Council of Governance, MCS entities etc.
Job Requirements
- Diploma or Degree from an established tertiary institution or certification from recognised bodies such as International Register of Certified Auditors (IRCA)
- 7 years or above or equivalent of relevant experiences.
- Working experience in risk and compliance related areas e.g. banks, insurance companies or non-profit and religious organisations; preferably at managerial position.
- Familiar with Companies Act, Charities Act, Personal Data Protection Act and other relevant statutes.
- Able to multi-task, work independently and prioritise to meet deadlines.
- Excellent spoken and written communication skills. Able to communicate effectively across many levels of committees headed by clergy and laity.
To apply for the above vacancy, please send us a copy of your resume to
Please indicate the following information in your resume:
- Current & expected salary
- Reason(s) for leaving
- Availability to commence work
We regret that only shortlisted candidates will be notified. All applications will be treated with the strictest confidence. By submitting any application or resume to us, you will be deemed to have agreed and consented to us collecting, using, retaining and disclosing your personal information for the processing of your job application.
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Compliance Manager
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Bank of Singapore opens doors to new opportunities.
At Bank of Singapore, we are constantly on the lookout for exceptional individuals to join our team. We promote a culture of openness, teamwork and fairness. Most importantly, we invest in our people through our programmes that develop them on both professional and personal levels. Besides attractive remuneration packages, we offer non-financial benefits and opportunities to develop your potential within OCBC Group's global network of subsidiaries and offices. If you have passion, drive and the will to succeed, rise to the challenge today
General Description
This position reports to the Head of Risk Governance and ARRC Secretariat team in BOS. The candidate will play an integral role in safeguarding and shaping the Risk Governance framework in BOS. This includes applying strong strategic and analytical skills to assess and craft high risk cases tabled to the AML/CFT & Reputational Risk Committee for decisioning. The role will also drive enhancements towards the future state vision of the BOS AML Risk Governance framework. Additionally, the role will function as a key risk specialist in terms of PEP/Political risks and for key emerging risk areas identified via the FCC Risk Heatmap.
Key Responsibilities:
- Ensure the effective and efficient functioning of BOS ARRC Secretariat both in terms of substantive (quality of risk analysis, presentation content and flow, facilitation of risk deliberation by senior management) and administrative aspects (TOR remains relevant, meetings are run smoothy within schedule and with clear outcomes/next steps).
- Work with front office and FCC stakeholders, and provide subject matter expert views on risk assessments, identify gaps in control measures (if any) and put forth recommendations to ensure robust decision making at ARRC.
- Ensure that risk appetite as determined by BOS/OCBC Board is cascaded, effectively implemented, and closely monitored at BOS group-wide level.
- Develop and monitor FCC Risk Heatmap in an ongoing mode, proactively identifying and escalating risk trends, and hotspots on a timely basis.
- Perform emerging risk scanning responsibilities, trendspotting and monitoring work via the FCC Risk Heatmap, risk awareness/education initiatives and shape the AML/CFT controls requirements in this evolving space.
- Collaborate with Front Office to conceptualise and maintain core to bank markets papers as custodians and ML/TF risk experts.
- Provide advice to stakeholders on PEP risks, perform horizon scanning/ PEP risk surveillance work, assess BOS' PEP risk exposures and determine the applicability of special trigger event programme.
- Ensure timely and qualitative execution of controls and recurring tasks within the team.
- Keep track of and contribute to the timely closure of audit observations, if necessary.
- Anticipate potential issues and actively propose measures to close identified gaps ahead of audit or regulatory inspections.
Requirements:
- Degree with 5-8 years of relevant work experience, preferably in the AML/CFT compliance function of a private bank
- Strong technical knowledge and understanding of regulatory requirements on AML/CFT and sanctions in Singapore and locations where BOS has a presence in. Keep pace with international regulatory and private banking developments, emerging risks/ typologies, and global trends in relation to AML/CFT and Sanctions.
- Strong analytical capabilities and risk acumen to review and implement policies that strike a good balance between enabling business growth and exercising prudence in risk-taking.
- Ability to exercise sound judgement based on analysis of facts presented and put-up recommendations to management which are well-articulated.
- Professional certifications such as ACAMS preferred, but not a must.
Personal Traits/Characteristics:
- Passionate and finds purpose in pursuing a career in the field of AML/CFT and Sanctions.
- Forward-looking and possesses a "can-do" attitude to overcome challenges.
- Able to work at both strategic, conceptual, and operational levels in a dynamic fast-changing risk and business environment.
- Strong written and oral communication skills and ability to interact effectively with people at different levels.
Good team player and interpersonal skills to allow effective collaboration with multiple stakeholders in BOS/OCBC Group and able to work with BOS colleagues from different cultures and countries.
Compliance Manager
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Your mission:
- Improve the compliance product in line with our mission to be instant, convenient, transparent and eventually free.
- Maintain our Major Payment Institution Licence in Singapore, including but not limited to: (i) regulatory liaison, (ii) regulatory reporting and filing, and be a champion of our compliance framework in audits.
- Build trust with our regulator: manage and coordinate meaningful reporting internally and externally, respond to information requests, and proactively communicate product changes and notifiable events.
- Maintain and manage effective compliance frameworks, policies and governance documentation.
- Develop systems to track and monitor our regulatory risk, compliance with regulatory requirements and internal policies.
- Work with teams to report management information to the Board so they are aware of the key risks.
- Educate teams about Singapore regulatory requirements, and empower teams to build risk based processes which are clearly documented.
- Scrutinise and test compliance programs and work with Operational teams to develop our risk based approach, provide constructive feedback and be responsible for resolutions.
- Adapt your focus on different compliance issues depending on growth plans and compliance needs.
- Work with global Product and Operational teams in Singapore, and Tallinn, and travel to our operational offices if needed.
This role will give you the opportunity to:
- Develop an in-depth knowledge of Wise's business and get to know many teams across the company as you liaise with them to help them understand regulatory frameworks and bring together the information that our regulators need.
- Help keep compliance right at the heart of our product development by helping our regulator understand our mission, and through horizon-scanning for new regulatory developments to share with teams.
Qualifications
A bit about you:
If you have a background in Payment Services Compliance in Singapore, or other similar financial regulation, great communication and organisational skills, tons of motivation, then this role could be perfect for you
- Theory. You are an expert in compliance related to the Payment Services Act and may be currently working, have worked, or work directly with the Monetary Authority of Singapore (MAS).
- Practice. You have demonstrable experience designing and challenging processes, ideally across multiple products. You have thought deeply about the Wise mission and how it intersects with compliance.
- Passion. You get a kick out of improving current practices and processes and can apply different compliance strategies to develop multiple compliance frameworks.
- Get the job done. You have a sense of urgency and an ability to work well under pressure, prioritising, taking responsibility and working to tight deadlines.
- Detail. You have meticulous attention to detail.
- Development. You've considered the challenges and development opportunities of working at a fast growing scale-up and are looking to get into FinTech or develop your knowledge of payments compliance. Here's a taster of what it's like working at Wise.
- Location. Singapore. Prioritisation will be given to those who have the rights to work in Singapore.
Compliance Manager
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Job Description
Job Title: Compliance Manager
Company Overview
As a global investment manager, we help institutions, intermediaries and individuals meet their goals, fulfil their ambitions, and prepare for the future. But as the world changes, so do our clients' needs. That's why we have a long history of adapting to suit the times and keeping our focus on what matters most to our clients.
Doing this takes experience and expertise. We bring together people and data to spot the trends that will shape the future. This provides a unique perspective which allows us to always invest with conviction. We are responsible for £726.1 billion (€846.1 billion/US$923.1 billion)* of assets for our clients who trust us to deliver sustainable returns. We remain determined to build future prosperity for them, and for all of society. Today, we have 5,618 people across six continents who focus on doing just this.
We are a global business that's managed locally. This allows us to always keep our clients' needs at the heart of everything we do. For over 200 years and more than seven generations we've grown and developed our expertise in tandem with our clients' needs and interests.
- as at 30 June 2023
Team Overview
A dynamic Compliance Team comprising of 5 team members.
Overview of role
Good compliance is good business, especially in an organisation which sets great store by its long term view and its reputation in the modern world of heightened regulatory and political pressure. This is a Singapore-based compliance role which is responsible for managing relationship with its financial regulators, advising colleagues on often complex regulatory requirements, monitoring compliance and helping Schroders' asset management entities in Singapore including Schroder Investment Management Singapore Ltd ("SIMSL") and Schroder Investment Management North America, SG Branch ("SIMNA SG Branch") to manage its regulatory and reputational risks.
Keeping Abreast of Regulatory Changes, Provision of Compliance Advisory and Support to Business
To ensure prompt and effective communication of regulatory requirements, licensing matters,
upcoming regulatory changes including changes to regulatory investment restrictions, group and
local compliance policies to SIMSL/ SIMNA SG Branch's Management, Business Heads and Staff.
- To lead/ support the evaluation of the potential commercial and/or operational impact resulting
from specific regulatory changes or legislations which affects business compliance arrangements,
procedures, processes and awareness.
To lead/ support the implementation of regulatory changes.
Keep abreast of regulatory developments in Singapore and Southeast Asia, including gathering
and providing feedback on public consultation papers.
- Communications with regulators and assist in responding to the day-to-day requests from
external and internal auditors on regulatory/ compliance matters.
- Maintain local compliance manuals which are in line with Group policies as well as international
best practices and relevant regulatory requirements.
Providing compliance advisory on regulatory related matters.
Review client agreements from compliance's perspectives.
Conduct in-house training for staff e.g. anti-money laundering, staff personal dealing, licensing,
regulatory requirements etc.
Trade Surveillance and Compliance Monitoring
Perform trade surveillance tasks and activities based on Compliance Monitoring Program
To identify any irregularities or discrepancies as part of the trade surveillance process, including
detecting potentially abusive trading activities, investigating potential cases and escalation
- To develop an understanding of the systems in use, expert knowledge of regulations by the MAS,
regulatory changes and company's policies related to trade surveillance
- Assist in the planning and execution of Compliance Monitoring Program and prepare reports to
management/ stakeholders regarding the status of recommendations made from the review
findings in a timely and effective manner.
Anti-Money Laundering
To assist the MLRO as second line of defence against money laundering activities within SIMSL/
SIMNA SG Branch
- Advise the business and senior management on their responsibility to establish and maintain
effective anti-money laundering systems and controls.
Working with the Business
Work together with relevant functions on new business initiatives and projects, highlighting and
addressing specific compliance and regulatory concerns.
- Carry out review of all RFPs / RFIs / marketing materials and completing requests/questionnaires
from clients, regulators etc.
Participate in client due diligence where necessary.
Management Reporting
Support compliance reporting to senior management, headquarters etc.
Staff Management:
Provide guidance and supervision to the junior members of the Compliance Team.
Essential Skills
- Degree Holder Candidate should have 7-8 years of relevant working experience in global asset
management
Good understanding of global and local regulations impacting asset management firms
Experience in trade surveillance and usage of trade surveillance systems
Knowledge of regulatory investment guidelines such as Code of CIS, CPFIG, MPF, HK Code on Unit
Trusts and Mutual Funds and UCITs
Good understanding of financial products and cross border marketing of funds
Confident individual who is an effective communicator with excellent interpersonal skills
Analytical with strong problem solving skillset
Able to work well independently and within a team, in a fast paced and dynamic environment
Experience in leadership roles preferred.
We recognise potential, whoever you are
Our purpose is to provide excellent investment performance to clients through active management. Diversity of thought facilitated by an inclusive culture will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer: you are welcome here regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background or any other protected characteristics.