Director/VP - Compliance Officer, Alternative Asset Management - SMBC

Company : Sumitomo Mitsui Banking Corporation

Job Type : Full Time

Singapore

Number of Applicants

000+

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Job Description - Director/VP - Compliance Officer, Alternative Asset Management - SMBC

Key Responsibilities

Regulatory Compliance

Liaise with MAS and other regulatory bodies on regulatory filings/submissions, inspections, and reporting obligations.
Monitor regulatory developments and ensure timely implementation of new MAS requirements, guidelines, and circulars.

Policies & Procedures

Develop and maintain compliance policies, procedures, and internal controls to meet MAS and global regulatory requirements.
Ensure compliance frameworks are tailored to the unique operational characteristics and risks of our investment strategies.

Monitoring & Surveillance

Oversee the compliance monitoring and testing program, including trade surveillance, AML/CFT screening, and personal account dealing reviews where applicable.
Conduct or coordinate with group departments on compliance reviews and internal audits
Monitoring regulatory developments and updating internal policies accordingly.

AML/CFT & KYC

Work closely with fund administrators and act as the designated AML Officer and/or Money Laundering Reporting Officer (MLRO), where applicable.
Ensure adherence to MAS AML/CFT guidelines and global standards for investor onboarding and ongoing monitoring, especially in complex fund structures.

Training & Advisory

Provide compliance advisory support to investment, operations, and distribution teams on fund structuring, product launches, and cross-border activities.
Lead regular staff training sessions on compliance, AML, and conduct risk topics relevant to alternative investments.

Governance & Reporting

Prepare and present regular compliance reports to the Board, CEO, and relevant committees.
Support the risk management function and collaborate with internal/external audit teams.
Coordinate with internal legal/compliance teams on group-level compliance activities

Requirements

A bachelor's degree with good academic results from a good university, in Law, Accounting, Business or related discipline.
10 years of relevant Compliance experience in financial services. Candidates from alternative investment funds are preferred.
Good working knowledge of the investment management industry and financial products.
Strong analytical skills and ability to demonstrate and articulate a clear thought process in analyzing regulatory and compliance issues. Diligent with attention to details.
Ability to perform processes and controls using Compliance systems.
A proactive, confident, and highly motivated person who is able to work both independently and as a member of the team and with an ability to multitask.
Effective communication skills with clear and succinct written and oral communication and interpersonal skills.

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Director/VP - Compliance Officer, Alternative Asset Management - SMBC

Job Description - Director/VP - Compliance Officer, Alternative Asset Management - SMBC

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