Junior/Compliance Officer

About The Role

Alta is looking for a Compliance Officer to support compliance oversight and advisory across the Group. This role will report directly to the Senior Compliance Manager and work closely with business and functional teams to assist in identifying, assessing, and mitigating regulatory risks.

The successful candidate will contribute to strengthening Alta's compliance framework and ensuring alignment with the expectations of the Monetary Authority of Singapore ("MAS") and other applicable regulators. This is a great opportunity for a compliance professional looking to deepen their expertise in a dynamic, regulated environment.

Some of the Key Responsibilities

• Supporting the development and maintenance of the compliance controls framework and assisting in the implementation of compliance-related processes and procedures
• Assisting in drafting and updating compliance-related manuals and policies, including Enterprise Wide Risk Assessments, AML/CFT, and business continuity planning
• Assisting in maintaining the outsourcing policy, outsourcing register, and service level agreements, and flagging material changes or developments for review
• Ensuring that operational procedures comply with applicable regulations and internal policies
• Keeping abreast of regulatory changes and supporting senior compliance staff in providing advisory to management and business teams
• Supporting business teams on implementation of regulatory changes under the guidance of senior compliance staff
• Assisting in identifying and documenting compliance issues (e.g. conflicts of interest, complaints) and escalating to senior team members in line with policy
• Preparing and maintaining compliance registers and records, including monthly compliance reports, personal dealing registers, complaints registers, gifts registers, error logs, and regulatory communication logs
• Conducting KYC checks in accordance with MAS Notice on Prevention of Money Laundering and Countering the Financing of Terrorism
• Supporting client due diligence and AML/KYC processes, including end-to-end documentation for onboarding of new clients, periodic reviews of existing clients, and AML/CFT matters
• Reviewing KYC information submitted by clients, conducting AML/CFT name screening, risk-rating clients, and maintaining documentation in accordance with regulatory requirements and internal policies
• Following up with the front office on outstanding documents and issues identified during client reviews
• Assisting in compliance reviews and testing, and helping to prepare reports for senior management
• Supporting licence applications and renewals for submission to regulatory bodies
• Assisting in the preparation and review of data and submissions to MAS, ensuring adherence to filing deadlines
• Supporting internal and external audits and gap analyses, and assisting in addressing audit findings
• Undertaking any other compliance-related tasks or assigned duties

About You

• 1 to 2 years of relevant experience in compliance in a MAS-regulated financial institution, asset management firm, broker, law firm, or exchange
• A basic understanding of capital market products, alternative investments, and/or Fintech; prior exposure to financial markets, private placements, or structured products is a plus
• Foundational knowledge of the Securities & Futures Act and its regulatory application to business activities
• Some experience in or exposure to drafting policies, procedures, or regulatory submissions is advantageous
• Good communication and interpersonal skills
• Willingness to learn, take initiative, and work well under guidance and within a team

Nice to Haves

• Detail-oriented with an analytical mindset and an eye for red-flag situations
• Able to manage tasks independently while being a collaborative team player
• Comfortable working in a fast-paced environment with evolving regulatory requirements.

Thank you for your interest in joining us on our mission to make alternative assets accessible to all. If you are keen to explore this opportunity, please send your resume to jobs@alta.exchange.