AVP/VP of Compliance

Who are we? 

We are ADDX, the entry point into private markets, and we aim to democratize private market investments. As a team, we strive to build a future where everybody can access financial ecosystems easily, fairly, and safely. Our team’s belief is real economies benefit when capital flows freely and efficiently, especially in the private market space.

Why join us?

· We have built the world’s first fully regulated platform for digital securities, licensed by the Monetary Authority of Singapore (MAS).

· ADDX is a global private market exchange headquartered in Singapore. To date, ADDX has listed more than 60 deals on its platform and worked with blue-chip names such as Hamilton Lane, Partners Group, Investcorp, Singtel, UOB, CGS-CIMB, as well as Temasek-owned entities Mapletree, Azalea, SeaTown and Fullerton Fund Management.

. The full-service capital market platform has raised a total of US$140 million in funding since its inception in 2017.

· We are backed by companies such as Singapore Exchange (SGX), the Stock Exchange of Thailand (SET), Temasek subsidiary Heliconia Capital, Japan Investments Corporation, the Development Bank of Japan (DBJ), UOB, KB Securities, Tokai Tokyo Financial Holdings and Hamilton Lane.

We are growing, and we are looking for talented individuals to join our team and take us forward as the leader of the private market. If you believe in a future of fair financial markets, just like we do, we’ve been waiting for you at ADDX.

Responsibilities:

· Conduct impact analysis on regulatory changes and work with business for implementation.

· Advise regulatory obligations and compliance requirements associated with current and proposed business activities and products.

· Prepare regulatory reporting and collate responses for MAS queries

· Review marketing materials to ensure compliance with advertising restrictions

· Draft, review, update and implement compliance policies and procedures

· Conduct assessment on potential conflict of interests, outsourcing and incidents

· Conduct periodic compliance review and testing

· Collaborate with internal and external audits

· Act as the second line of defense in assessing controls and remediating deficiencies identified

· Review listing applications for completeness and compliance with ADDX listing rules

· Review and investigate non-compliance with listing rules, report and escalate to senior management and assist in disciplinary actions for breaches of rules

· Assist in preparation of management reporting and escalation to senior management

· Must have experience with a CMS license holder

Skills, Knowledge and/or Certifications:

· Bachelor’s degree in a related field (eg: Banking, Finance, Business).

· At least 5 years of experience in compliance with CMS license holders

· Knowledge of the Singapore Securities and Futures Act in dealing in securities, fund management or recognized market operator.

· Good verbal and written communication skills

· Takes ownership of tasks assigned and is detail oriented

· Ability to manage expectations and competing priorities and follow up proactively on issues

· Good analytical skills and ability to exercise judgement

· Inquisitive and able to work independently with various stakeholders

· Strong team player, able to coordinate and seek information from different teammates

· Ability to prioritize work and have a positive, hands-on, “can-do” attitude

Due to our limited capacity, we regret that only shortlisted candidates will be notified.