What You’ll Be Doing

Business Conduct & Front-Office Controls

• Partner with Commercial, Product, Compliance, Legal, and Risk teams to design and strengthen controls across client-facing activities, including sales practices, customer communications, client classification, conflicts of interest, product governance, and fair customer outcomes.
• Define local requirements for sales surveillance and business conduct monitoring, partnering with central teams to implement appropriate monitoring capabilities while owning local review, investigation, escalation, and remediation of identified risks.
• Support controls around front-office activities, including representative conduct, customer interactions, sales incentives, product distribution, and the appropriate treatment of different customer segments.
• Translate regulatory and conduct requirements into practical business controls, processes, and product requirements, partnering with Product and Operations teams through design, testing, implementation, and post-launch review.

Customer & Controls Optimisation

• Analyse customer complaints, onboarding and KYC issues, incidents, sales activity, and operational data to identify emerging risks and root causes.
• Partner with Product, Operations, Compliance, and Risk teams to improve customer journeys while maintaining appropriate regulatory and control standards.
• Identify opportunities to strengthen control effectiveness while simplifying processes and reducing unnecessary customer or operational friction.

Risk Governance & Controls

• Maintain the SG risk register and coordinate the Risk and Control Self-Assessment (RCSA), working with business teams to identify and assess key operational, regulatory, and conduct risks and controls.
• Monitor key risk indicators (KRIs) and support periodic control testing to assess control effectiveness, identify gaps, and drive remediation with control owners.
• Support the implementation of local policies, SOPs, regulatory requirements, and control frameworks, ensuring requirements are effectively embedded into day-to-day business activities.

Issues, Assurance & Regulatory Implementation

• Coordinate investigation and root cause analysis of incidents, conduct issues, and control deficiencies, working with relevant teams to develop practical corrective actions and drive issues through to resolution.
• Support internal and external audit engagements, regulatory reviews, and assurance activities, including documentation requests, walkthroughs, management responses, and remediation tracking.
• Support the implementation of evolving regulatory requirements and industry standards, assessing business impact and working cross-functionally to embed appropriate processes and controls.

Outsourcing & Governance Coordination

• Support governance of intra-group and third-party outsourcing arrangements, including maintenance of the SG Outsourcing Register and ongoing reviews in accordance with MAS requirements and internal policies.
• Support key governance forums, including the Token Listing Committee, and prepare clear and timely risk, controls, conduct, and issue reporting for the SG Management Committee and other relevant forums.

What We Look For In You

• 4–6 years of experience in business compliance, front-office controls, conduct risk, sales surveillance, regulatory compliance, or related roles within capital markets, securities, brokerage, trading, wealth management, fintech, or other regulated financial services.
• Good understanding of Singapore financial services regulation and MAS expectations, particularly across business conduct, client classification, sales practices, product governance, conflicts of interest, and customer outcomes.
• Hands-on experience designing or executing sales surveillance, conduct monitoring, or front-office controls, including identifying issues, investigating exceptions, and driving remediation with business stakeholders.
• Strong analytical and problem-solving skills, with the ability to use client, transaction, or activity data to identify risks and translate regulatory requirements into practical controls, processes, or product enhancements.
• Strong stakeholder management and execution skills, with experience partnering across front-office, Product, Operations, Compliance, Legal, and Risk teams to provide constructive challenge and drive outcomes.
• Experience in digital assets or crypto is a plus; familiarity with broader operational risk, RCSA, outsourcing, audit, and governance frameworks is advantageous.

Perks & Benefits

• Competitive total compensation package
• L&D programs and Education subsidy for employees' growth and development
• Various team building programs and company events
• Wellness and meal allowances
• Comprehensive healthcare schemes for employees and dependants
• More that we love to tell you along the process!