Compliance Officer

  • Competitive
  • Singapore
  • Permanent, Full time
  • Aston Carter (Allegis Group Singapore Pte Ltd) , EA Licence No: .10C4544
  • 05 Oct 17 2017-10-05

This position has responsibility to manage the Risk and Compliance function. The incumbent must manage the day-to-day Risk and Compliance activities of the business with the objective of ensuring that Risk and Compliance arrangements are run in an efficient, effective and consistent manner.

A key part of the role will be supporting the business in its immediate and ongoing regulatory requirements and obligations, specifically regulated custody operations.


The Compliance Officer will be part of the Asia-Pacific Risk and Compliance team, (which is part of the wider Group Risk and Compliance Function) and will report locally and globally to ensure both regional and global accountabilities are met. The role has intensive stakeholder engagement both within the business and externally.


Specific Role Responsibilities     

This position will provide management of Risk and Compliance related matters to ensure that practices, systems and documentation comply with the law, contractual obligations and applicable codes of practice.  

  • Support the business in its immediate and ongoing regulatory requirements and obligations, specifically the implementation of, and ongoing operation of custody in a compliant manner
  • Analyse new legislation, determine the impact on company and its customers and liaise with business partners to ensure successful implementation;
  • Manage the implementation/embedding of the, policies and procedures, of the Global Risk and Controls Framework for the  region;
  • Conduct Risk assessments and evaluation, across the business and ensure mitigating actions are in place;
  • Provision of Risk and Compliance reporting in line with Global standards, tailored as appropriated for the internal and external audience.
  • Management of local requirements of non statutory audits e.g. ISAE controls audit.
  • Management of the Singapore Annual Compliance Monitoring Plan;
  • Manage emerging Compliance risks with business owners;
  • Providing support, education and training to staff to build Risk and Compliance awareness within the organisation.
  • Work with regulators/supervisors in Singapore as required;


Experience required      

  • Degree Qualified
  • Experience with the regulatory obligations of MAS Licensees and Custody Licensing process.
  • Relevant experience within Singapore based custodial function, ideally from a wrap platform or custodian
  • Knowledge of the Singapore Financial Sector regulatory regime including AML and Data Privacy practices is desirable
  • ‘Hands on’ attitude and the ability to get the job done.
  • Experience as an appointed representative for a regulated activity will be looked favourably on.


  • Be part of a highly successful, rapidly growing, global business that is leading the delivery of financial services via cloud computing and partners with some of the world’s largest companies;
  • Remuneration and career advancement is based on individual contribution and business impact rather than tenure or seniority;
  • We provide significant financial rewards for high performing individuals; and
  • We provide global career opportunities for our best employees.


Interested candidates can forward their CV in MS word format to Insia Lotia at


Only shortlisted candidates will be notified.


Allegis Group Singapore Pte Ltd, Company Reg No. 200909448N, EA Licence No. 10C4544