Compliance Officer



Job Description

  • Undertaking risk-based and rule-based general compliance monitoring, and liaising with the regulators (MAS and SGX), where necessary.
  • Keeping abreast of relevant regulatory and legal changes, assessing their impact and implementing any required changes to internal policies and procedures.
  • Updating internal policy and procedure manuals, where necessary.
  • Maintaining appropriate checklists for corporate finance transactions.
  • Advising on any proposed amendments to standard agreements, with the assistance of the Legal Department where appropriate.
  • Assisting with new client take-on procedures, including undertaking conflict checks and desktop-based searches as well as gathering the necessary documentation in accordance with anti-money-laundering policies.
  • Reviewing transaction files of the Corporate Finance team prior to submission to the SGX
  • Recording minutes of meetings of internal committees.
  • Ensuring that compliance induction is given to all new employees.
  • Ensuring that any PA dealing of employee is undertaken in accordance with internal policies.
  • Assisting with the licensing and de-licensing of employees with the relevant regulator.


  • Good experience in general corporate and commercial matters
  • Excellent communication and writing skills
  • Able to work under pressure and organize work effectively to meet datelines