Description

We are seeking a pragmatic and hands-on compliance professional to join our client i.e. an External Asset Manager (EAM) platform in Singapore. This is an individual contributor role requiring close collaboration with senior stakeholders across the EAM and an external consulting firm that supports the compliance function. The role covers both AML/CFT and regulatory compliance, making it suitable for candidates with experience in either or both areas.

Key Responsibilities

Regulatory Compliance

1. Monitor and interpret MAS regulations, including the Securities and Futures Act (SFA), Financial Advisers Act (FAA), and relevant MAS Notices and Guidelines applicable to EAMs / CMS license holders
2. Ensure timely submission of regulatory filings and notifications to MAS
3. Maintain and update internal compliance policies, procedures, and manuals
4. Support the business in regulatory-driven projects and ad-hoc queries from MAS

AML/CFT & Financial Crime

1. Conduct client onboarding, periodic reviews, and enhanced due diligence (EDD)
2. Perform sanctions screening, transaction monitoring, and name screening (e.g., World Check)
3. Investigate unusual transactions and file Suspicious Transaction Reports (STRs) with STRO where required
4. Maintain and update AML/CFT policies and conduct risk assessments (e.g., EWRA)

Stakeholder & Consulting Firm Collaboration

1. Work closely with EAM senior management (e.g., CEO, Relationship Managers, Operations) to provide practical compliance advice
2. Liaise with the external consulting firm that oversees outsourced compliance functions, ensuring alignment on frameworks, reporting, and escalation protocols
3. Act as the internal point of contact for compliance queries, audits, and inspections

Compliance Monitoring & Training

1. Conduct periodic compliance monitoring and testing
2. Deliver internal training to staff on AML/CFT, conduct risks, and regulatory updates
3. Maintain compliance registers and prepare management reports

Requirements

Experience

1. 7-10 years of compliance experience
2. Open to candidates with only AML experience or only regulatory compliance experience
3. Prior experience in an External Asset Manager (EAM) , Private Bank, or Wealth Management environment is highly preferred

Knowledge

1. Familiarity with MAS regulations applicable to capital markets and financial advisory services
2. Understanding of AML/CFT requirements, CDD/EDD processes, and sanctions screening
3. Knowledge of FATCA, CRS, and PDPA is a plus

Skills & Attributes

1. Ability to work independently as a sole contributor
2. Strong communication and stakeholder management skills
3. Pragmatic, solution-oriented, and comfortable working with external consultants
4. Meticulous with documentation and regulatory deadlines

Qualifications

1. Degree in Law, Accountancy, Finance, Business, or related discipline
2. Professional certifications (e.g., CAMS, ICA) are a plus but not mandatory

Why Join

1. High-visibility role working directly with senior leadership
2. Flexibility to shape the compliance framework
3. Collaborative model with external consulting support
4. Ideal for a self-starter who wants ownership without large-team management

Please submit your CV outlining your relevant experience to smalhotra@strivex.sg

We regret that only shortlisted candidates will be notified.

StriveX Pte. Ltd. | EA Licence No. 23S2077 | EAP Registration No.: R1770166