Specific responsibilities include but are not limited to:

• Providing regulatory advice to clients operating in fund management, private wealth management, digital advisory, digital assets and other capital markets intermediaries (i.e. REIT managers, brokerages, corporate finance advisors and trust companies) to help optimise their risk management compliance with regulatory requirements.

• Your regulatory advice will cover areas such as licensing and registration, regulatory reporting, sales and product compliance, AML/CFT, business conduct, outsourcing, culture and conduct, and technology risk.

• Managing a team of specialists providing outsourced compliance support to clients. This includes regulatory reporting, operationalising changes and updates to regulations, conducting compliance monitoring and reporting to senior management, assisting on AML/KYC reviews and providing regulatory advice.

• Helping clients develop, implement and strengthen their enterprise risk management and compliance frameworks.

• Conducting business processes and controls reviews, including internal audit and control assurance reporting, identifying gaps, assessing risks and providing recommendations for remediation.

• Conducting thematic compliance reviews and internal audits to formulate recommendations for processes and controls to better comply with regulatory requirements, regulators’ expectations, and industry/market practices.

• Working with our strategic alliance partners to formulate new services / products to take to the market (e.g. regulatory technology / platform).

• Working on business development or new market opportunities (e.g. new clients, services, proposal formulation).

• Managing key stakeholder relationships, including communication of the scope of work, findings and observations, industry updates.

About you:

• At least 6 years of financial services regulatory, legal or external audit experience in a Big 4 audit firm, regulator or financial institution. Previous employment with a regulator will be highly preferred.

• Good understanding of the asset and wealth management/digital assets/capital markets landscape.

• Strong experience in auditing and advising on local MAS regulatory requirements for capital markets intermediaries. This includes Securities and Futures Act, Financial Advisers Act, Banking Act, Payments Services Act, including AML/ CFT.

• Experience in the following areas would be beneficial:

• 1. dealing with the MAS on licensing for capital markets intermediaries and approved exchanges;

• 2. auditing and advising on front office conduct and sales practices; and

• 3. technology-related regulatory requirements, which includes Technology Risk Management, Cyber Hygiene and Business Continuity Management.

• Professional, confident and highly motivated self-starter, with an ability to handle multiple engagements/projects in a fast pace environment with tight deadlines, positive attitude to learn and strong team player. Able to manage people and teams.

• Possess strong values, personal integrity and emotional intelligence.

• Meticulous and attention to details, possessing an analytical and enquiring mind-set

• Good verbal and written communication skill in English. Additional proficiency in Mandarin will be an advantage.