Compliance Consultant

Purpose

Optionality seeks a strong regulatory drafter to join our team. Responsibilities include: monitoring and reviewing new policy changes made by the MAS, SFC, and US governments; drafting of client policy framework; extensive work on regulatory applications and licensing change. Possible extension to internal audit work and support.

Responsibility

Draft and maintain compliance manuals, AML/CFT programmes, risk management frameworks, conflicts of interest, personal account dealing / codes of ethics, outsourcing, business continuity, technology risk, fair dealing, complaints handling, whistleblowing, marketing review and individual accountability (IAC) frameworks for MAS CMS licence holders (LFMC, VCFM, dealing/brokerage) SFC license holders, and for US RIAs, ERAs, CPO/CTAs and broker-dealers.

Draft business plans for companies seeking to become regulated with the MAS. Draft and maintain initial applications and respond to comments.

Run regulatory-change updates across the client base when a notice, guideline or rule changes; prepare redlines and client-facing change summaries.

Attend client calls, take instructions directly.

Both Part Time and Full Time applications are welcome.

Must Have Experience

• Seeking candidates with 5–7 years in financial services regulatory work at a law firm, in-house at a fund manager or broker-dealer, at a regulator, or in regulatory consulting.
• Working knowledge of the Securities and Futures Act and the MAS Notices and Guidelines applicable to CMS licensees.
• Business-fluent English with extensive writing expertise.
• Business-fluent Mandarin, spoken and written to manage Chinese regulatory requests on demand including WOFE and QFII facilitation from Chinese client base.

Bonus Skills

• Prior exposure to both Singapore and US regulatory regimes.