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.