Job Description

Key Responsibilities

Regulatory Compliance & Monitoring

Ensure ongoing compliance with

Securities and Futures Act (SFA)

,

Financial Advisers Act (FAA)

, and MAS notices/guidelines. Conduct

daily and periodic trade surveillance

, monitoring for market abuse, insider trading, or other regulatory breaches. Oversee adherence to

position limits, short-selling rules

, and other exchange-specific requirements. Prepare and submit regulatory filings, including

AML/CFT returns and MAS surveys

.

Policies, Procedures & Training

Maintain and update the firm's

Compliance Manual, policies, and procedures

to reflect regulatory and business changes. Assist in designing and delivering

compliance training programs

for staff.

Risk Assessment & Controls

Conduct periodic

compliance risk assessments

and test internal controls. Manage

Personal Account Dealing

and

Gifts & Entertainment registers

.

AML/CFT Oversight

Conduct

CDD and ongoing due diligence

on investors and counterparties. Perform

sanctions, PEP, and adverse media screening

. Investigate and escalate

suspicious transaction reports (STRs)

.

Advisory & Business Partnership

Provide

practical compliance guidance

to investment, trading, and technology teams. Review marketing materials, client communications, and research to ensure regulatory compliance.

Qualifications & Experience

Bachelor's degree in

Law, Finance, Accounting, Business, or related field

.

2-7 years of compliance experience

within a

MAS-regulated financial institution

, preferably in

fund/asset management or hedge funds

. Strong knowledge of

MAS regulations applicable to fund managers

(SFA, FAA, AML/CFT). Familiarity with

quantitative/algorithmic trading compliance risks

is a plus.

Mandarin is required due to the need to communicate with Mandarin speaking clients and counterparts

If you're interested in this opportunity, please send your CV to roxyzhou@trulyyy.com

Regrettably, only shortlisted candidates will be notified.Please note that data provided is for recruitment purposes only.


Business Registration No.: 202004228R | License. No. - 20S0118 | EA Registration No. - R22104027