Senior Compliance Officer

Senior Compliance Officer / MLRO

Key Responsibilities

• Serves as the Money Laundering Reporting Officer (MRLO) and the Designated Compliance Officer for Singapore Digital Asset Custody Entity

• Assist in the MAS licensing application as well as any other jurisdiction licensing application

• Work closely with internal and external stakeholders to ensure overall compliance to all applicable regulatory and licensing requirements

• Review escalated cases from business and operations regarding KYC matters

• Review and approved transaction monitoring cases

• Overseeing the effective operation of compliance and financial crime process operation, including executing 2nd line control sample testing

• Supporting in client onboarding and blockchain investigations

• Review and monitor compliance with relevant AML/CFT and Sanctions requirements. Assist in performing annual AML/CFT enterprise-wide risk assessment to ensure AML/CFT risk are identified and mitigated and policies appropriately updated.

• Develop and implement internal controls and policies to ensure all compliance needs across the business activities in the company are met.

Requirement:

• At least 6 to 10 years of compliance experience in a financial institution or fin-tech organization and holds minimally a Bachelor Degree in Law /Finance/Compliance

• Experience with local regulations and sound understanding of Singapore’s Payment Service Act, and AML/CFT regulations is required.

• Experience in AML program implementation in Fintech environment is a plus.

• Strong verbal and written communication capabilities and is driven with agile problem-solving skills that thrives in ambiguous environment independently.

• Obtains ACMS certification is preferred

• Able to travel to Singapore frequently

Compliance Officer(Fund Management)

Responsibilities:

1. Ensure adherence to all regulatory requirements and industry standards within the fund management department of ChainUP, a leading fintech company.
2. Develop, implement, and maintain compliance/AML policies and procedures specific to fund management activities, ensuring alignment with regulatory requirements in Singapore, BVI, Hong Kong, and Dubai.
3. Manage and oversee AML/KYC procedures, ensuring compliance with regulatory guidelines and Group requirements.
4. Facilitate the application process for VASP licenses and ensure compliance with licensing requirements.
5. Monitor regulatory developments in Singapore, BVI, Hong Kong, and Dubai to assess their impact on fund management operations and compliance obligations, ensuring timely updates to policies and procedures as needed.
6. Collaborate with investment teams and other stakeholders to provide compliance guidance and support, including training on relevant regulations and compliance best practices specific to each jurisdiction.
7. Oversee the compliance monitoring program, including the review of investment guidelines, trading restrictions, and other compliance-related reports in accordance with regulatory requirements in Singapore, BVI, Hong Kong, and Dubai.
8. Conduct due diligence reviews of third-party service providers, including fund administrators, custodians, and investment advisors, to ensure compliance with contractual and regulatory requirements in relevant jurisdictions.
9. Serve as a subject matter expert on compliance matters during regulatory examinations, audits, and client due diligence meetings, providing guidance on AML and compliance regulatory requirements in Singapore, BVI, Hong Kong, and Dubai.
10. Stay updated on regulatory developments and industry trends relevant to fund management and fintech operations.

Qualifications:

1. Bachelor's degree in Law, Finance, or related field.
2. Minimum of 3 years of experience in fund management, with a strong emphasis on compliance.
3. Experience in a software company or fintech environment is highly desirable.
4. Strong understanding of AML/KYC regulations and compliance requirements.
5. Familiarity with the application process for VASP licenses.
6. Excellent communication and interpersonal skills.
7. Ability to work independently and as part of a team in a fast-paced environment.