A leading private equity firm headquartered in Singapore with an exceptional track record of investment across Asia. The firm takes an agnostic approach to sectors and has established itself as a trusted partner in the regional mid-market private equity landscape. As part of its expansion plans, the firm is seeking its first dedicated Compliance Senior Manager/Director to lead and shape its compliance function across multiple jurisdictions.
Key Responsibilities
Regulatory Compliance:
- Act as the firm's primary compliance contact, ensuring alignment with regulatory requirements from the Singapore MAS for CMS license compliance and reporting, Hong Kong SFC, and United States SEC regulations..
- Prepare and oversee all regulatory filings, including MAS Forms, SFC filings, FATCA/CRS reporting, and compliance-related DDQs.
- Build and maintain relationships with regulatory authorities, acting as the key liaison for the firm.
- Monitor and adapt to regulatory changes, advising the leadership team on necessary adjustments to policies and practices.
Compliance Program Development:
- Establish and maintain a comprehensive compliance framework, including drafting and updating compliance policies and procedures.
- Develop a robust AML/CFT program, including conducting due diligence, managing alerts, and escalating suspicious activities where necessary.
- Oversee statutory filings for the company and funds under management.
- Conduct regular compliance reviews, audits, and testing to ensure adherence to internal controls and external regulations.
- Facilitate compliance-related training for employees to promote a strong compliance culture.
Fund-Specific Compliance:
- Ensure compliance with fund offering documents, investment mandates, and fund-related transactions.
- Collaborate with investment teams on deal-related documentation review and execution.
- Support new fund launches, advising on compliance requirements and implications.
Risk Management:
- Perform regular risk assessments and implement measures to mitigate compliance risks.
- Ensure adherence to global best practices while maintaining alignment with regional regulatory requirements.
Qualifications & Experience:
- 7–10 years of compliance experience, preferably within private equity, asset management, or the broader financial services industry.
- In-depth knowledge of Singapore MAS regulations; familiarity with Hong Kong SFC and US SEC regulations is highly desirable.
- Professional certifications such as ICA, ACAMS, or other AML/CFT qualifications are advantageous.
- Strong expertise in regulatory compliance, AML/KYC, and cross-border fund compliance.
- Proven ability to design and implement compliance programs in growing organizations.
- Experience managing relationships with regulators and external compliance partners.
Skills & Competencies:
- Leadership: Capable of building and leading the compliance function independently
- Analytical Thinking: Strong judgment and decision-making skills in a complex regulatory environment.
- Communication: Excellent verbal and written communication skills, with the ability to influence and collaborate across all levels of the organization.
- Proactive Mindset: Takes initiative to stay ahead of regulatory developments and implement necessary changes.
- Global Perspective: A collaborative approach with the ability to navigate compliance requirements across jurisdictions.
What’s on Offer:
- Autonomy to establish and lead the compliance function in a dynamic, growth-oriented environment.
- Opportunity to work directly with senior leadership in a high-performing private equity firm.
- Exposure to compliance across multiple jurisdictions, including MAS, SFC, and SEC.
- Competitive compensation and performance-based incentives
