Senior Associate/Principal Compliance

A leading global investment firm is seeking a Senior Associate/Principal Compliance to play a pivotal role in safeguarding the organisation against financial crime and ensuring adherence to regulatory standards.

What you'll do:

As a Senior Associate/Principal Compliance, you will be at the forefront of developing robust frameworks that protect the organisation from financial crime risks.

• Provide advice and guidance to the business on a broad range of regulatory and compliance issues as required.
• Provide review and sign-off of marketing materials and advise on compliance matters relating to the firm’s distribution activities across Asia Pacific.
• Monitor and analyse and interpret regulatory developments across Hong Kong and Singapore, assessing their impact on the firm and driving timely implementation of related policies, procedures and controls.
• Conduct risk assessments, gap analyses and monitoring and testing as part of the overall Compliance Monitoring Plan (CMP).
• Manage the Internal Audit (Singapore) and External Compliance Review (Hong Kong) programmes, including tracking action items to completion, following up on implementation of recommendations and reporting findings to Senior Management.
• Develop and maintain compliance management information, producing reporting for senior management on a periodic basis.
• Monitor and ensure completion of all regulatory reporting to the MAS and SFC in a timely manner. Respond to other ad-hoc regulatory requests in a timely manner.
• Maintain the core compliance regulatory registers for Asia (i.e. personal account dealing, compliance breaches, gifts and entertainment, conflicts of interest, continuous professional training, etc).

What you bring:

The ideal Senior Associate/Principal Compliance brings significant hands-on experience of at least 7 years managing anti-money laundering frameworks within complex financial institutions.

• Extensive experience in compliance roles within financial services or investment management environments with a focus on anti-money laundering (AML) and counter-financing of terrorism (CFT).
• In-depth knowledge of relevant legislation and regulatory requirements pertaining to AML/CFT within Singapore or similar jurisdictions.
• Proven ability to design, implement, and update internal controls, policies, procedures, and risk assessment frameworks tailored to evolving business needs.
• Strong analytical skills for detecting potential risks associated with clients or new products/services while maintaining meticulous records.
• Excellent interpersonal skills enabling you to provide clear guidance to colleagues at all levels regarding compliance matters.
• Experience acting as Deputy MLRO or similar capacity with responsibility for handling Suspicious Activity Reports (SARs) and liaising with regulatory authorities.
• Demonstrated capability in preparing training materials or delivering educational sessions on AML/CFT topics for employees across multiple departments.
• Ability to collaborate effectively with senior management teams while maintaining discretion when dealing with sensitive information.
• Familiarity with monitoring tools/mechanisms used for tracking compliance performance across large organisations.

What sets this company apart:

This organisation stands out as a trusted partner within the global investment community due to its unwavering commitment to ethical conduct and regulatory excellence. Employees benefit from a culture that emphasises teamwork, open communication, and mutual respect—qualities that create an inclusive workplace where everyone’s contributions are valued. The firm invests heavily in professional development through regular training opportunities designed to keep staff ahead of industry trends. Flexible working arrangements are available so you can balance personal commitments with career ambitions. With access to knowledgeable mentors across multiple disciplines, you’ll find ample support as you grow your expertise within one of Singapore’s most respected financial institutions.

What's next:

If you are ready to take your compliance career to new heights within an internationally recognised investment firm committed to best-in-class standards—this is your moment!

Apply today by clicking on the link provided; we look forward to connecting with talented professionals who share our passion for responsible finance.

Do note that we will only be in touch if your application is shortlisted.
Robert Walters (Singapore) Pte Ltd
ROC No.: 199706961E | EA Licence No.: 03C5451
EA Registration No.: R22105333 Nur Humaira Binte Jamall Abd Nassir