Associate / Manager, Compliance

Role Summary

This role will report directly to Head of Compliance.

The selected candidate will support the Compliance team in general compliance duties and will work with the team to strengthen and improve our compliance procedures and presentations through the usage of IT applications and macros.

Key Duties and Responsibilities

  • Handle licensing-related matters relating to appointment, cessation and notifications to MAS in a timely manner, to ensure adherence to regulatory requirements
  • Assist in review of marketing materials for both retail and institutional clients to ensure compliance with regulatory requirements and firm’s policy
  • Assist in managing conflicts of interest including but not limited to personal account dealings, gifts and entertainment in accordance with firm’s policies
  • Routine compliance monitoring/checks as part of the compliance monitoring program
  • Regulatory filings and/or reporting
  • Assist with the preparation/ collation of documents for internal and external audits
  • Update and maintenance of databases, spreadsheets, status tracking etc
  • Prepare compliance reports to stakeholders
  • Prepare and administer trainings to stakeholders
  • Enhancement of compliance procedures and presentations through IT applications and macro
  • Any other compliance duties and ad-hoc projects as assigned by the Head of Compliance.

Education Qualification

  • Diploma or Degree qualification preferred.

Experience and Skills

  • Minimum 3 to 8 years of experience in relevant function
  • Good knowledge and hands-on experience in IT applications and macros
  • Strong written and verbal communication skills
  • Able to take ownership, work independently and yet a good team player, embrace a collaborative and open working culture
  • Ability to work under pressure and timeline.


  • Competitive and reward for performance.

Register your interest for the position by writing to with your CV, resume and transcript (for internships only).