Senior Compliance Manager

About UsRockstead Capital was established in 2005. We believe in building long-term relationships, aligning to our clients' interests, and protecting the trust placed in us. By providing 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 DescriptionThe 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 ResponsibilitiesCompliance ManagementOversee 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 & KYCOversee client onboarding process, ensuring all KYC/AML requirements are fulfilledReview and approve client documentation for completeness and accuracyConduct enhanced due diligence on high-risk clients and ensure appropriate risk ratingsMaintain client files and ensure periodic reviews are conducted as per policyRisk ManagementIdentify, assess, and monitor business, operational, and compliance risksDevelop and implement risk mitigation strategies and controlsMonitor investment limits, restrictions, and mandate compliancePolicy Development & TrainingDraft and update compliance policies, procedures, and internal controlsDevelop and deliver compliance training programs for staff, fostering a culture of compliance awareness throughout the organizationProvide guidance and support to business teams on compliance mattersRegulatory RelationsServe as the primary point of contact for regulatory inquiries and inspectionsManage relationships with MAS and other regulatory bodiesCoordinate responses to regulatory requests and examinationsReporting & DocumentationPrepare monthly, quarterly, and annual compliance reports for management and boardDocument compliance breaches, incidents, and remediation actions, maintaining comprehensive records of compliance activities and decisionsSupport internal and external audit processesRequired QualificationsBachelor’s degree in Finance, Business, Law, or related fieldProfessional certifications such as CAMS, CFE, or equivalent highly preferredCirca 8 years of compliance experience in the financial services industry, ideally within hedge fund, asset management, or CMS-licensed environmentExperienced managing regulatory relationships and inspectionsStrong understanding of MAS regulations, SFA, FAA, and related guidelines