Compliance Officer
Must-have:FinTechSeniorPrincipal
About the company
BugleRock Capital is a MAS-licensed wealth and asset management firm in Singapore. We are looking for a Compliance Officer to own the day-to-day compliance function and keep the firm aligned with MAS regulations as we grow. You will work closely with the front office, senior management and external advisors.
Your tasks
- Monitor and ensure compliance with the Securities and Futures Act, MAS notices and guidelines applicable to a Capital Markets Services licensee
- Maintain and update the firm’s compliance policies, procedures and manuals
- Oversee AML/CFT controls, including client onboarding, KYC/CDD, EDD, sanctions and PEP screening, and suspicious transaction reporting
- Review marketing materials, client communications and product documentation for regulatory compliance
- Conduct compliance monitoring and testing, including trade surveillance, personal account dealing, conflicts of interest and gifts and entertainment
- Manage regulatory filings, returns and notifications to MAS
- Handle breach and incident reporting, investigations and remediation tracking
- Deliver compliance training and advise staff on regulatory requirements
- Support audits, regulatory inspections and licence-related applications
- Provide compliance input on new products, services and business initiatives
Requirements
- Bachelor’s degree in Finance, Business or a related field
- 7 to 8 years of compliance experience in wealth management, asset management or private banking in Singapore
- Prior front office or business-facing compliance background is preferred
- Strong working knowledge of the SFA, FAA, MAS notices and AML/CFT requirements
- Familiarity with RMO, RNF and Compliance Officer regulatory requirements is an advantage
- Sound judgment, with the confidence to challenge and advise senior stakeholders
- Excellent written and verbal communication skills
- High integrity and strong attention to detail