Senior Compliance Manager

About Us

Rockstead Capital was established in 2005. We believe in building long-term relationships, aligning to our clients interests, and protecting the trust placed in us. Byproviding bespoke asset management and legacy planning services to individuals and families, we protect and grow their wealth. We are a Licensed Fund Management Company (LFMC) under the regime of Monetary Authority of Singapore (MAS).

Job Description

The Senior Compliance Manager will oversee and manage our comprehensive compliance framework. This role is critical in ensuring adherence to all regulatory requirements set forth by the Monetary Authority of Singapore (MAS) and maintaining robust risk management practices across our operations.

Key Responsibilities

Compliance Management

• Oversee daily compliance operations, including monitoring activities and managing regulatory filings.
• Develop and maintain compliance policies in line with MAS and CMS requirements.
• Track regulatory changes, maintain the compliance register, and ensure timely reporting and adherence to obligations (MAS, management, other regulatory bodies).

Client Onboarding & KYC

• Oversee client onboarding process, ensuring all KYC/AML requirements are fulfilled
• Review and approve client documentation for completeness and accuracy
• Conduct enhanced due diligence on high-risk clients and ensure appropriate risk ratings
• Maintain client files and ensure periodic reviews are conducted as per policy

Risk Management

• Identify, assess, and monitor business, operational, and compliance risks
• Develop and implement risk mitigation strategies and controls
• Monitor investment limits, restrictions, and mandate compliance

Policy Development & Training

• Draft and update compliance policies, procedures, and internal controls
• Develop and deliver compliance training programs for staff, fostering a culture of compliance awareness throughout the organization
• Provide guidance and support to business teams on compliance matters

Regulatory Relations

• Serve as the primary point of contact for regulatory inquiries and inspections
• Manage relationships with MAS and other regulatory bodies
• Coordinate responses to regulatory requests and examinations

Reporting & Documentation

• Prepare monthly, quarterly, and annual compliance reports for management and board
• Document compliance breaches, incidents, and remediation actions, maintaining comprehensive records of compliance activities and decisions
• Support internal and external audit processes

Required Qualifications

• Bachelor's degree in Finance, Business, Law, or related field
• Professional certifications such as CAMS, CFE, or equivalent highly preferred
• Circa 8 years of compliance experience in the financial services industry, ideally within hedge fund, asset management, or CMS-licensed environment
• Experienced managing regulatory relationships and inspections
• Strong understanding of MAS regulations, SFA, FAA, and related guidelines