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Regulatory Compliance Officer, AVP

Job description

Title

Regulatory Compliance Officer, AVP

Description

Our client is a well-known financial institution in Singapore, looking for a regulatory compliance professional to support their risk management & compliance team here.

Responsibilities:

  • Support projects and initiatives related to compliance and risk management.
  • Monitor and stay updated on local laws and regulations, implementing necessary changes.
  • Ensure compliance with ongoing Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) duties, including reporting suspicious activities.
  • Guarantee timely submission of annual declarations for licensed representatives within the Fund Services business.
  • Offer advisory support for compliance-related queries as the first line of defense.
  • Keep the risk assessment framework current, including Legal Inventory, Compliance risk assessment, yearly risk assessment, and ongoing financial regulatory reporting.
  • Implement and oversee the Financial Crime Prevention program, covering AML/CFT, Anti-Fraud, Anti-Bribery & Corruption, and market abuse/insider trading, and provide guidance on risk-based approaches.
  • Establish and conduct monitoring and testing activities as per the Compliance risk assessment.
  • Assist in gathering supporting documentation for licensing and review related documents/forms.
  • Participate in discussions with relevant regulatory authorities.

Job requirements:

  • 10+ years of risk management and compliance experience in Singapore and Hong Kong, with a focus on financial services.
  • Strong understanding of Asia Pacific regulatory requirements, particularly in Hong Kong and Singapore, including AML/KYC.
  • Experience in wholesale banking licensing applications or regulator interactions.
  • Expertise in harmonizing compliance frameworks for Singapore and Hong Kong regulations.
  • Candidates who require a work pass need not to apply.

To Apply

If you believe you fit the requirements for the role, please click APPLY NOW or send an email to

Note: We regret that only shortlisted candidates will be notified.

Data provided is for recruitment purposes only

Business Registration Number: 200611680D.

Licence Number: 10C5117 EA Registration Number: R22110363

If this job isn't quite right for you, but you know someone who would be great at this role, why not take advantage of our referral scheme? We offer SGD1,000 or SGD350 in shopping vouchers for every referred candidate who we place in a role. Terms & Conditions Apply. https://www.ambition.com.sg/refer-a-friend