Senior Compliance Officer

We’re looking for a proactive Compliance Manager to help operationalise our compliance framework as we scale — embedding strong controls and processes across trading, operations, and finance.

What You'll Be Doing:

• Implement and run day-to-day compliance controls under VARA Broker-Dealer/VAMI rulebooks and MAS PSA SPI requirements — including client money safeguarding, reconciliations, market conduct monitoring, best execution oversight, and conflicts of interest registers.
• Oversee AML/KYB onboarding, ongoing monitoring, sanctions screening, and suspicious transaction reporting. Act as escalation point for more complex onboarding cases.
• Operate the firm’s Compliance Monitoring Program: performing daily/quarterly/annual checks, documenting evidence, and escalating issues.
• Support regulatory licensing workstreams — assist the Head of Compliance in preparing responses, collating documentation, and updating policies/procedures based on MAS/VARA feedback.
• Maintain compliance registers (outsourcing, complaints, whistleblowing, gifts/hospitality, conflicts of interest) and ensure issues are tracked through to remediation.
• Prepare and submit regulatory filings (monthly, quarterly, annual) and coordinate with Finance/Operations to ensure accuracy.
• Partner with trading, operations, legal, and technology teams to ensure policies translate into effective operational processes.
• Deliver training and awareness sessions to staff, reinforcing obligations around AML/CFT, market conduct, client money, conflicts, and cybersecurity.

The Ideal Candidate:

• 7–10 years’ experience in compliance within a broker-dealer, trading firm, investment bank, or MAS/VARA-regulated entity.
• Strong operational compliance experience — running monitoring programs, reconciliations, AML/KYB processes, and registers.
• Working knowledge of market conduct rules, client money protections, AML/CFT frameworks, and outsourcing/BCP requirements.
• Experience as MLRO or Deputy MLRO (or equivalent STR reporting responsibilities).
• Comfortable drafting/redlining compliance policies and procedures in response to regulator queries.
• Ability to balance regulatory requirements with commercial objectives, and to work effectively with trading and operations teams.

Preferred Background:

• Degree in law, finance, business, or related discipline.
• Professional compliance certifications (e.g., CAMS, ICA, ACAMS) are an advantage.
• Prior exposure to MAS PSA SPI obligations (AML, safeguarding, cyber hygiene) and VARA broker-dealer licensing frameworks highly valued.