Senior Manager, Compliance

Key Responsibilities: 

Compliance & Regulatory 

• Oversee and manage the Firm’s compliance function across all business lines 

• Review and provide compliance inputs to front-line businesses or other departments’ policies and procedures  

• Draft and maintain compliance policies and procedures to address evolving business needs and compliance risks 

• Participate in new business initiatives including application of licenses and regulatory engagements 

• Keep abreast of regulatory developments and proactively draft or update and operationalise policies and procedures arising from the new developments  

• Act as a primary point of contact with the MAS on various matters, including but not limited to handling of periodic and ad-hoc regulatory reporting, handling of MAS surveys, misconduct reporting (non-finance related), submission of MAS online forms on appointment or cession of licensed representatives, directors and others 

• Act as a primary point of contact with the SGX on various compliance matters, including but not limited to handling of periodic and ad-hoc regulatory reporting, handling of SGX surveys, submission of Registered Professionals applications and cessations 

• Perform periodic regulatory reporting to China Securities Regulatory Commission (“CSRC”) 

• Handles annual compliance audit conducted by external auditors 

• Check and keep track of MAS circulars and FINTEL announcements and circulate to and advise the relevant stakeholders accordingly 

• Send out and keep track of declarations such as spousal declarations and annual declarations from employees and directors  

• Provide compliance trainings to new hires (includes interns) and ad hoc compliance trainings to all employees and directors on an ad hoc basis whenever there are changes to new regulations, procedures and etc.; source for relevant core CPD training hours for licensed representatives of the Firm   

• Maintain outsourcing register for the Firm and coordinates on the initial and periodic assessment of outsourced service providers 

• Act as Data Protection Officer of the Firm, update the Firm’s Data Protection Management Programme and Policy when necessary 

Business Support 

• Perform/review client onboarding through screening platform; file a Suspicious Transaction Report (“STR”) with the Suspicious Transaction Reporting Officer (“STRO”) when the Firm encounters any suspicious activities  

• Review NDAs, engagement letters, placement agreements, underwriting agreements, placement and underwriting agreements, mandates and other agreements with third parties 

• Review of corporate finance lodgement, registration and submission documents to SGX (IPO and RTO) 

• Perform internal reviews of front-line business units’ work processes, consolidate findings and draft report for the Board and the Management  

• Advise the Management and business units on compliance with best practices and regulatory requirements, and risk mitigation strategies 

• Serve as a trusted compliance partner to senior stakeholders across multiple business units; work closely with various stakeholders and business units to resolve compliance issues 

• Coordinate and support any ad hoc projects (e.g. information technology) as assigned by the Management  

Corporate Secretarial Support  

• Organise and coordinate Board meetings for SAC Group entities which include setting of Board agendas, preparation of some Board materials and Board minutes  

• Procure and compare the Firm’s insurance policies (e.g. Professional Indemnity Insurance and Cyber Insurance) 

• Draft and review directors resolutions in writings ("DRIWs") and shareholders resolutions in writings ("SRIWs") in relation to SAC Group entities; send out emails to obtain requisite approvals and coordinate on signatures from stakeholders 

• Maintain the Firm’s Delegation of Authorities (“DOA”) and dissemination to the Firm for updates  

• Review and maintain the Terms of Reference ("TOR") for various internal committees and the Board 
• Coordinate in other corporate actions of the Firm as assigned by the Management and/or the Board 
  

Key Requirements:

• Degree / Diploma in Law, Finance, Accountancy, Business, or equivalent  

• Good command of English (written and verbal) 

• Minimum 3–5 years of relevant experience in the investment banking or capital market industry 

• Prior exposure to corporate finance transactions (e.g. IPOs, RTOs, M&A) or Catalist sponsorship work is strongly preferred 

• Experience in compliance, audit, legal, or a front-office corporate finance role with compliance involvement will be considered 

• Familiarity with SGX listing rules, MAS licensing requirements, and capital markets regulations is highly advantageous  

• Able to work autonomously with sound judgment and minimal supervision 

• Strong understanding of or keen interest in corporate finance deal flows, sponsor obligations, and regulatory framework governing MAS licensed entities in Singapore 

• High level of integrity, with the confidence to voice opinions and escalate issues appropriately 

• Strong interpersonal and communication skills; ability to engage senior stakeholders and cross-functional teams 

• Team player and keen to assume additional responsibilities and participate in new initiatives