Regulatory Compliance Officer – Wealth and Securities Firm
Ethos Beath Chapman Idibu ·www.ethosbc.com
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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
Requirements
WT
EA Personnel No R1985201
BeathChapman Pte Ltd
Licence No 16S8112
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
Frequently asked questions
Who is hiring for the Regulatory Compliance Officer – Wealth and Securities Firm role?
Ethos Beath Chapman Idibu is hiring for the Regulatory Compliance Officer – Wealth and Securities Firm position, a Shazamme client. Apply directly on the employer's career site.
Where is the Regulatory Compliance Officer – Wealth and Securities Firm job located?
The Regulatory Compliance Officer – Wealth and Securities Firm role with Ethos Beath Chapman Idibu is based in Singapore, SG.
What does the Regulatory Compliance Officer – Wealth and Securities Firm role pay?
Ethos Beath Chapman Idibu lists the Regulatory Compliance Officer – Wealth and Securities Firm role at up to SGD 150,000 per year.
Is the Regulatory Compliance Officer – Wealth and Securities Firm role full-time or contract?
This is a full time position at Ethos Beath Chapman Idibu.
What experience level is the Regulatory Compliance Officer – Wealth and Securities Firm role?
The Regulatory Compliance Officer – Wealth and Securities Firm position is aimed at mid-level candidates.
How do I apply for the Regulatory Compliance Officer – Wealth and Securities Firm role at Ethos Beath Chapman Idibu?
Apply directly on Ethos Beath Chapman Idibu's career page via the Apply button on this listing. ZammeJobs links straight through to the employer's ATS — no third-party form, no resume database.