- Outram Central Region (Singapore) Singapore
Full Time Business Compliance Manager Jobs, Salary up to SGD 9,000 in GUOTAI JUNAN INTERNATIONAL SECURITIES (SINGAPORE) PTE. LIMITED Central Region (Singapore) - Maukerja
Business Compliance Manager
GUOTAI JUNAN INTERNATIONAL SECURITIES (SINGAPORE) PTE. LIMITED
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Job Description
Responsibilities
Key Responsibilities
Client Due Diligence & Onboarding
Perform first-line review of client onboarding files submitted by RMs, including:
KYC information
AML/CFT due diligence
Source of Wealth (SOW) & Source of Funds (SOF) verification
Corroboration and documentation checks
Ensure adherence to internal policies and MAS regulatory requirements prior to account approval
Support review and escalation of high-risk clients, PEPs, complex structures
Ongoing Client Lifecycle & Monitoring
Conduct periodic reviews (PR/DD) and trigger-event reviews
Review client activity alerts, transactional patterns, and screening hits
Assist in timely resolution and documentation of compliance issues
Policy Governance & Control Implementation
Support development, enhancement, and implementation of WM compliance procedures
Assist in drafting / updating SOPs, workflows, and onboarding governance frameworks
Ensure consistency with group policies while meeting local regulatory standards
Communication & Coordination
Serve as primary compliance liaison for the Wealth Management front office
Coordinate with internal stakeholders, including Compliance, Operations, Legal, and Risk
Provide advisory support to RMs on onboarding requirements and compliance documentation
Assist in training front-office teams on AML/KYC standards and new regulatory developments
External Audit & Regulatory Interface
Support preparation of materials for MAS reviews, regulatory queries, and internal audits
Ensure accurate reporting and timely submission of required information
Other Responsibilities
Support Head of Wealth Management on compliance-related initiatives and remediation work
Contribute to continuous improvement of WM governance and control framework
Perform other duties assigned in support of business and regulatory readiness
Qualifications & Requirements
Bachelor’s degree in Finance, Law, Business, or related field
Minimum
5+ years
experience in KYC/AML/compliance, preferably in private banking or wealth management
Solid understanding of MAS AML/CFT regulations, customer due diligence standards, and wealth management products
Prior exposure to SOW/SOF corroboration, periodic review processes, and PEP/high-risk client handling
Guotai Junan International is a leading diversified financial services company whose core business activities include brokerage, wealth management and investment management. The company has been building up its presence in Singapore to complement its existing businesses in Greater China and serve a wider range of customers and offer new business and financial products to meet evolving investors’ needs in the Greater China and Southeast Asia region.
Client Due Diligence & Onboarding
Perform first-line review of client onboarding files submitted by RMs, including:
KYC information
AML/CFT due diligence
Source of Wealth (SOW) & Source of Funds (SOF) verification
Corroboration and documentation checks
Ensure adherence to internal policies and MAS regulatory requirements prior to account approval
Support review and escalation of high-risk clients, PEPs, complex structures
Ongoing Client Lifecycle & Monitoring
Conduct periodic reviews (PR/DD) and trigger-event reviews
Review client activity alerts, transactional patterns, and screening hits
Assist in timely resolution and documentation of compliance issues
Policy Governance & Control Implementation
Support development, enhancement, and implementation of WM compliance procedures
Assist in drafting / updating SOPs, workflows, and onboarding governance frameworks
Ensure consistency with group policies while meeting local regulatory standards
Communication & Coordination
Serve as primary compliance liaison for the Wealth Management front office
Coordinate with internal stakeholders, including Compliance, Operations, Legal, and Risk
Provide advisory support to RMs on onboarding requirements and compliance documentation
Assist in training front-office teams on AML/KYC standards and new regulatory developments
External Audit & Regulatory Interface
Support preparation of materials for MAS reviews, regulatory queries, and internal audits
Ensure accurate reporting and timely submission of required information
Other Responsibilities
Support Head of Wealth Management on compliance-related initiatives and remediation work
Contribute to continuous improvement of WM governance and control framework
Perform other duties assigned in support of business and regulatory readiness
Qualifications & Requirements
Bachelor’s degree in Finance, Law, Business, or related field
Minimum
5+ years
experience in KYC/AML/compliance, preferably in private banking or wealth management
Solid understanding of MAS AML/CFT regulations, customer due diligence standards, and wealth management products
Prior exposure to SOW/SOF corroboration, periodic review processes, and PEP/high-risk client handling
Guotai Junan International is a leading diversified financial services company whose core business activities include brokerage, wealth management and investment management. The company has been building up its presence in Singapore to complement its existing businesses in Greater China and serve a wider range of customers and offer new business and financial products to meet evolving investors’ needs in the Greater China and Southeast Asia region.
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