Compliance and Regulatory Officer

What does a Compliance and Regulatory Officer do?

Interpret regulatory requirements

Review legislation, regulatory notices, industry standards, and internal policies to understand the obligations affecting an organisation.
Monitor compliance controls

Assess whether procedures, approvals and monitoring systems are operating effectively and identify areas where controls may need improvement.
Conduct due diligence

Review customers, business partners and transactions to identify potential legal, regulatory, financial crime or reputational risks.
Prepare reports and regulatory submissions

Maintain accurate records, document compliance findings, and coordinate required reports, declarations, and filings.
Advise and train employees

Explain policies, deliver compliance training, and help business teams make decisions that reflect regulatory and ethical expectations.

1
Master Legal and Regulatory Fundamentals

Develop a strong understanding of business law, corporate governance, compliance principles, and professional ethics.
2
Gain Monitoring and Due-Diligence Skills

Learn to review records, assess customers and counterparties, identify warning signs, and document findings accurately.
3
Manage Regulatory Compliance Programmes

Support policy implementation, staff training, risk assessments, investigations, and regulatory reporting.
4
Lead Compliance and Governance Functions

Oversee monitoring systems, manage regulatory relationships, and advise senior leaders on significant compliance risks.
5
Direct Enterprise Risk and Integrity Strategy

Shape organisation-wide approaches to ethics, governance, regulatory risk and responsible business conduct.

Supporting a Trusted Business Environment Singapore’s Accounting and Corporate Regulatory Authority oversees areas including business registration, corporate regulation and compliance requirements. Compliance professionals help organisations maintain accurate records, meet filing obligations and respond appropriately to regulatory changes.
Preventing Corruption and Misconduct The Corrupt Practices Investigation Bureau provides guidance to Singapore businesses on establishing practical anti-corruption systems. Compliance officers help translate these expectations into policies, approval processes, reporting channels and employee training.
Managing Financial-Crime Risk Singapore’s position as an international financial and commercial centre makes anti-money laundering, customer due diligence and transaction monitoring important areas of compliance work. Officers in regulated organisations help identify suspicious behaviour, escalate concerns, and maintain appropriate records.
Responding to New Regulatory Expectations Compliance responsibilities continue to expand as organisations adopt artificial intelligence, digital platforms, outsourced services, and data-driven business models. Officers must evaluate new risks while helping teams introduce technology in a controlled and accountable manner.