Junior Compliance Officer

About the Role

Alta is hiring a Compliance Officer to help oversee compliance matters and provide guidance across the group. The role reports to the Senior Compliance Manager and partners with business and functional teams to spot, assess, and reduce regulatory exposure.

This position will contribute to strengthening Alta’s compliance structure and keeping it aligned with the Monetary Authority of Singapore (MAS) and other relevant regulators. It is well suited to a compliance professional who wants to build deeper expertise in a fast-moving, regulated setting.

Key Responsibilities

• Support the upkeep of the compliance controls framework and help roll out compliance processes and procedures.
• Draft and refresh compliance manuals and policies, including Enterprise Wide Risk Assessments, AML/CFT, and business continuity planning.
• Maintain the outsourcing policy, outsourcing register, and service level agreements, and highlight any significant changes for review.
• Make sure operating procedures remain consistent with applicable regulations and internal policies.
• Track regulatory updates and assist senior compliance colleagues in advising management and business teams.
• Help business teams implement regulatory changes under the direction of senior compliance staff.
• Identify and document compliance matters such as conflicts of interest and complaints, then escalate them appropriately in line with policy.
• Prepare and maintain compliance records and registers, including monthly compliance reports, personal dealing records, complaints logs, gifts logs, error logs, and regulatory communication logs.
• Carry out KYC checks in line with the MAS notice on prevention of money laundering and countering the financing of terrorism.
• Support client due diligence and AML/KYC work, including full onboarding documentation for new clients, periodic reviews of existing clients, and AML/CFT-related matters.
• Review client-submitted KYC information, complete AML/CFT name screening, assign client risk ratings, and keep records in line with regulatory and internal requirements.
• Follow up with the front office on missing documents and issues uncovered during client reviews.
• Assist with compliance reviews and testing, and contribute to reports for senior management.
• Support licence applications and renewals for submission to regulators.
• Help prepare and review data and filings to MAS, ensuring deadlines are met.
• Support internal and external audits, gap assessments, and remediation of audit findings.
• Carry out other compliance-related duties as assigned.

About You

You should have 1 to 2 years of relevant compliance experience in a MAS-regulated financial institution, asset management firm, broker, law firm, or exchange. A working understanding of capital market products, alternative investments, or fintech is useful, and prior exposure to financial markets, private placements, or structured products would be an advantage.

You should also have a basic grasp of the Securities & Futures Act and how it applies to business activities. Experience drafting policies, procedures, or regulatory submissions will be beneficial.

Strong communication and interpersonal skills are important, along with a willingness to learn, take initiative, and collaborate effectively under guidance.

Nice to Haves

It is helpful if you are detail-focused, analytical, and alert to red flags. The role also suits someone who can work independently while remaining a strong team player and who is comfortable in a fast-paced environment where regulatory expectations may change.