Senior Manager/Manager, Regulatory Compliance (Investment CMS/RMO, tokenized, Fintech)

Job description

Senior Manager/Manager, Regulatory Compliance (Investment - CMS/RMO, tokenized, Fintech)
Overview
We are looking for a highly skilled and experienced Regulatory Compliance, Senior Manager/Manager for Alpha Ladder Finance (CMS- and RMO-licensed) and Asia Green Fund Management (fund management under CMS) with product scope covering Securities, CIS, exchange-traded and OTC derivatives, custody, wealth management; green/impact funds; tokenized/asset-backed instruments; voluntary carbon credits (where relevant).


The role will cover jurisdictions - Singapore (primary), with potential expansion to Hong Kong (SFC licensing and ongoing obligations), and other priority markets as needed.


Key responsibilities
Regulatory advisory and interpretation (SG) : Serve as subject-matter expert on MAS regulations applicable to CMS-licensed fund managers/intermediaries and RMO obligations (SFA, FAA, related Notices/Guidelines, AML/CFT, technology risk).

Interpret and operationalize MAS requirements for CIS, derivatives dealing/advising, custody, market operator conduct, and outsourcing/technology risk management.


Compliance program ownership : Design, implement, and maintain the Compliance Framework and Compliance Manual(s) covering governance, business conduct, personal account dealing, conflicts of interest, best execution, research independence (if applicable), client asset rules, and custody standards.

Build and execute risk-based Compliance Monitoring Plans (CMP), including thematic reviews, branch/desk testing, surveillance, and management reporting.


Licensing and regulatory engagement : Manage licensing/notification activities for CMS and RMO permissions, senior management appointments (e.g., CEO, directors, representatives), and scope changes.

Act as liaison with MAS for inspections, supervisory queries, periodic meetings, breach notifications, and remediation tracking.


Product and fund lifecycle compliance : Advise on fund launches (VCC/unit trusts/limited partnerships), offering documents, marketing/distribution restrictions, target market and suitability, valuations, pricing, NAV oversight, and investor disclosures.

Oversee compliance for RMO/P2P platform features, market rules, participant onboarding, surveillance, transparency, and fair access.


Conduct, suitability, and client protection : Implement suitability and appropriateness frameworks, including classification of investors (retail, accredited, institutional), product risk ratings, disclosures, and distribution oversight.

Monitor incentives, conflicts, soft dollar arrangements, and complaints handling.


Controls for custody and safekeeping : Ensure compliance with client asset segregation, reconciliations, custody arrangements, sub-custodian oversight, and operational resilience.


Regulatory reporting : Own periodic returns to MAS (e.g., AUM, financial returns, risk data, RMO reporting), incident/breach reporting, and Board/EXCO reporting.


Cross-border expansion (HK and others) : Lead or support applications for SFC licenses (e.g., Type 1/4/9 as applicable) and ongoing compliance (internal controls, RO appointments, financial resources rules, AML/CFT under AMLO, CPT/competency program).

Map regulatory equivalence, passporting, and outsourcing/vendor risk considerations in new markets.


Training and culture : Develop ongoing compliance training, attestations, and conduct culture initiatives for investment staff, traders, client-facing teams, and senior management.


Technology, data, and outsourcing : Review governance and due diligence for trading/custody systems, market surveillance tools, pricing/valuation vendors, and outsourcing arrangements (TRM and OSP requirements).

Lead investigations of compliance breaches, trading incidents, market misconduct alerts, and client complaints; implement corrective actions and remediation.


Qualifications and experience
Fintech experience is mandatory.

7–10 years (Senior Manager) or 4–7 years (Manager) in regulatory compliance within fintech-led asset/fund management, broker-dealer/intermediary, exchange/market operator, or related regulatory roles supporting high-growth fintechs.


Strong knowledge of MAS regulations for CMS/RMO entities, including SFA, FAA, AML/CFT Notices/Guidelines, Technology Risk Management, Outsourcing, custody/client asset rules, and the CIS Code.


Experience with RMO/market rules, surveillance, and participant conduct is a strong plus.


Exposure to Hong Kong SFC licensing and ongoing obligations (Type 1/4/9) preferred; experience preparing license applications and interacting with the SFC is advantageous.


Familiarity with tokenized/asset-backed instruments and voluntary carbon markets is a plus.


Excellent stakeholder management, policy drafting, and analytical skills; proven ability to operationalize controls with product/engineering teams in agile settings.


Relevant certifications (e.g., CMFAS modules, ICA, ACAMS, CFA or CAIA) are a plus.


What we offer
Opportunity to shape compliance across cutting-edge TradFi–digital asset infrastructure spanning investments, payments, and crypto.


Direct engagement with senior leadership and regulators.


Growth into regional multi-licensing compliance leadership.


Competitive compensation, professional development support, and a mission aligned with sustainable finance and digital innovation.


Additional details
Seniority level: Mid-Senior level
Employment type: Full-time
Job function: Analyst, Finance, and Quality Assurance
Industries: Capital Markets, Investment Management, and Financial Services
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