To act as the sole Compliance Officer and assume the day-to-day Compliance control function for the CFS business and ensure its adherence to the regulations, rules and laws in Singapore

  • To act as the AML/CFT Officer to identify, monitor and report suspicious transactions in relation to money laundering and terrorist financing
  • To ensure that CFS operates in compliance with relevant legislations/regulations, by giving advice on compliance implications of business decisions, both for on-going issues and in project decisions
  • To establish, review and update the relevant compliance policies as required by the MAS for a Capital Markets Services licensee
  • To act as the main interface for the liaison with the regulators for any regulatory notification, licensing, reporting, inspection and investigation
  • To have responsibility for all aspects of CFS’s Compliance and Financial Crime risk management framework for the Singapore business
  • To help develop a compliance risk assessment process covering the main activities relevant to managing compliance risk by developing and implementing a robust compliance monitoring/desk review programme


  • Should be purely into Regulatory Compliance (no AML/FCC)
  • In-depth knowledge of the MAS rules and other relevant regulations and legislation
  • 5 years or more of previous experience in legal or compliance within a financial services organisation
  • Able to build strong working relationships with senior members of staff throughout the region
  • Sound working knowledge of a wide range of financial products and services including equity brokerage, fixed income trading and secondary loan trading
  • Ability to manage a suite of regulatory policies and procedures
  • Strong academic background, university degree and relevant professional qualifications
  • Experience of undertaking AML/CFT monitoring and advisory activities
  • Able to articulate complex matters in a clear and concise way
  • Knowledge and experience in dealing with regulatory bodies
  • Strong organisational and project management skills
  • Knowledge of trading systems advantageous (e.g. Fidessa, Bloomberg, Reuters)
  • Excellent PC skills including Word, Excel and PowerPoint

To apply for this job please visit www.headhunt.com.sg.

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