Regulatory Compliance Officer – Wealth and Securities Firm

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 investmen...