Senior Compliance Officer

Legal & Compliance Singapore

We’re Building the Future of Capital Markets;

enabling entrepreneurship, job creation, financial inclusion, and economic resilience

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As Asia's largest licensed digital securities exchange for alternative investments, Alta is at the forefront of building critical capital market infrastructure. We believe that access to capital markets are pivotal in all economies, we recognize that our role in building this critical infrastructure goes beyond facilitating trades; it paves the way for entrepreneurship, job creation, financial inclusion, and economic resilience, fostering a brighter future for emerging markets and economies.

Empowering Private Markets: Through our Digital Exchange, we enable the tokenization and digital custody of alternative assets. This end-to-end solution simplifies and expedites the trading of smaller asset blocks, ultimately facilitating access and liquidity in private markets.

Innovative Financial Ecosystem: Our journey has seen us transition from securities trading and distribution of comprehensive products, including equities, private credit, funds, and asset-backed securities (“ABS”) (representing Real World Assets ("RWA") like whiskies, wines, art, watches, and real estate) to include fund management and digital custody services.

As the only integrated securities exchange, brokerage, and fund management group with the necessary regulatory licenses and a proven track record in Southeast Asia, we are actively exploring new channels and partnerships to extend our impact to entrepreneurs and investors globally.

Established in 2016 and headquartered in Singapore, Alta operates offices globally. We welcome energetic and creative individuals to be part of this ambitious journey with us.

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About The role

Alta is looking for a Senior Compliance Officer to provide robust compliance oversight and advisory across the Group. This role will report directly to the Senior Compliance Manager and will work closely with business and functional teams to proactively identify, assess, and mitigate regulatory risks.

The successful candidate will play a key role in strengthening Alta’s compliance framework and ensuring alignment with the evolving expectations of the Monetary Authority of Singapore (“MAS”), the Central Bank of Bahrain (“CBB”), and other applicable regulators. A key focus of the role is to enhance the effectiveness and efficiency of compliance processes while maintaining adherence to increasingly stringent regulatory standards.

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Some of the Key Responsibilities

• Development and maintaining of compliance controls framework and implementation of compliance-related processes and procedures;
• Drafting and performing updates to compliance-related manuals and policies, such as Enterprise Wide Risk Assessments, AML/CFT, business continuity planning, etc;
• Drafting, maintaining of outsourcing policy, reviewing the outsourcing register and service level agreements for updates and revisions and any material development, changes or additions to the current arrangements;
• Ensure that all operational procedures comply with applicable regulations, internal policies and procedures;
• Keep abreast with regulatory changes issued by MAS, CBB and other applicable regulators, and provide compliance advisory to senior management and business;
• Provide high level analysis on changes to regulations and provide support to business on implementation;
• Working with internal and external stakeholders with regards to requests on compliance related matters;
• Identify, provide assessment and maintain documentation on compliance issues e.g. conflict of interest, complaints, etc, as well escalate issues to senior management/Board in line with policy;
• Providing monthly compliance reports