Regulatory Compliance Officer - Wealth and Securities Firm

Company : Ethos Beathchapman

Job Type : Full Time

Singapore

Number of Applicants

000+

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Job Description - Regulatory Compliance Officer - Wealth and Securities Firm

Contract Type:

Permanent

Location:

Singapore, Singapore

Date Published:

08-May-2026

Salary:

$150,000.00 - $150,000.00 Annual

The Role
My client is a global Wealth and Securities firm and we are looking for a Regulatory Compliance expert in the Singapore office. You will be the subject matter expert of the compliance function and will act as a key partner to the business on regulatory, risk, and governance matters.

Responsibilities

Oversee day-to-day compliance operations, including monitoring activities and regulatory obligations
Maintain and enhance compliance policies, procedures, and internal controls in line with MAS expectations
Act as the key compliance authority for client onboarding, reviewing KYC/AML documentation and higher-risk cases
Conduct enhanced due diligence and ensure ongoing client reviews are performed in accordance with internal policies
Identify and assess compliance and operational risks, and implement appropriate mitigation measures
Monitor adherence to investment mandates, limits, and regulatory restrictions
Serve as the primary point of contact for regulators, including handling inspections and regulatory queries
Prepare regular compliance reports for senior management and the board
Support internal and external audits, investigations, and remediation initiatives
Deliver compliance training and provide ongoing advisory support to business teams

Requirements

Bachelor's degree in Finance, Business, Law, or a related discipline
Approximately 5+ years of compliance experience within Banking, Wealth, and CMS licensed firm
Strong working knowledge of Singapore regulatory requirements under the SFA/FAA framework
Proven experience managing regulatory engagement and inspections
Strong communication skills and ability to work closely with senior stakeholders

WT
EA Personnel No R1985201
BeathChapman Pte Ltd
Licence No 16S8112

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Regulatory Compliance Officer - Wealth and Securities Firm

Job Description - Regulatory Compliance Officer - Wealth and Securities Firm

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