Serving You Since 1975

Compliance Officer

We are looking for a proactive and detail-oriented Compliance Officer with 4–6 years of experience in the asset and fund management industry, preferably within Singapore or other APAC markets. The successful candidate will support the development, implementation, and monitoring of the firm’s compliance program, ensuring alignment with local and regional regulations.

Key Responsibilities

  • Ensure compliance with all applicable Singapore regulations, including but not limited to the Securities and Futures Act (SFA), Financial Advisers Act (FAA), Variable Capital Companies Act (VCC Act), Companies Act (CA), MAS Notices, Guidelines, and the Code on Collective Investment Schemes.
  • Review and monitor fund management activities, discretionary mandates, and investment advisory services for regulatory compliance.
  • Maintain and update compliance policies and procedures to reflect evolving MAS requirements and industry best practices.
  • Conduct internal compliance monitoring and surveillance across front-office, middle-office, and back-office functions.
  • Support the review and submission of regulatory filings, regular Compliance Reports, and other surveys as required.
  • Provide compliance advisory support to portfolio managers, product teams, and distribution staff on fund launches, marketing materials, and cross-border marketing requirements.
  • Deliver regular compliance training and updates to staff across the organization.
  • Liaise with external auditors, legal counsel, and MAS where applicable, including handling inspections or audits.
  • Track regulatory developments, conduct impact assessments, and assist in implementing regulatory changes across the business.

Qualifications & Experience

  • Bachelor’s degree in Law, Accountancy, Finance, Business, or a related discipline.
  • 4–6 years of relevant compliance experience in Singapore’s asset and fund management sector, preferably with a CMS licence holder.
  • Strong understanding of Singapore regulatory frameworks (SFA, FAA, VCC Act, CA, AML/CFT, MAS guidelines) and experience with different fund structures (e.g., VCCs, private equity, unit trusts).
  • Experience with regulatory engagement and reporting to MAS.
  • Familiarity with cross-border offering rules in Asia is an advantage.
  • Ability to work independently and confidently in a fast-paced, regulated environment.
  • Excellent interpersonal, analytical, and communication skills.

Optional Attributes

  • ICA Diploma in Compliance / AML, CAMS, or similar regulatory certifications
  • Legal or regulatory qualification (e.g., Singapore Bar, relevant licensing courses under IBF)
  • Knowledge or familiarity with automation and data tools such as RPA, UiPath, Tableau, etc.

If you are looking for an environment of growth and opportunities, please send a cover letter with your resume, stating the position applied, present and expected salaries to recruitment@phillip.com.sg

We regret that only shortlisted candidates will be notified.

Brought to you by Phillip Securities Pte Ltd (A member of PhillipCapital)