We’re looking for a proactive Compliance Manager to help operationalise our compliance framework as we scale — embedding strong controls and processes across trading, operations, and finance.
What You'll Be Doing:
- Implement and run day-to-day compliance controls under VARA Broker-Dealer/VAMI rulebooks and MAS PSA SPI requirements — including client money safeguarding, reconciliations, market conduct monitoring, best execution oversight, and conflicts of interest registers.
- Oversee AML/KYB onboarding, ongoing monitoring, sanctions screening, and suspicious transaction reporting. Act as escalation point for more complex onboarding cases.
- Operate the firm’s Compliance Monitoring Program: performing daily/quarterly/annual checks, documenting evidence, and escalating issues.
- Support regulatory licensing workstreams — assist the Head of Compliance in preparing responses, collating documentation, and updating policies/procedures based on MAS/VARA feedback.
- Maintain compliance registers (outsourcing, complaints, whistleblowing, gifts/hospitality, conflicts of interest) and ensure issues are tracked through to remediation.
- Prepare and submit regulatory filings (monthly, quarterly, annual) and coordinate with Finance/Operations to ensure accuracy.
- Partner with trading, operations, legal, and technology teams to ensure policies translate into effective operational processes.
- Deliver training and awareness sessions to staff, reinforcing obligations around AML/CFT, market conduct, client money, conflicts, and cybersecurity.
The Ideal Candidate:
- 7–10 years’ experience in compliance within a broker-dealer, trading firm, investment bank, or MAS/VARA-regulated entity.
- Strong operational compliance experience — running monitoring programs, reconciliations, AML/KYB processes, and registers.
- Working knowledge of market conduct rules, client money protections, AML/CFT frameworks, and outsourcing/BCP requirements.
- Experience as MLRO or Deputy MLRO (or equivalent STR reporting responsibilities).
- Comfortable drafting/redlining compliance policies and procedures in response to regulator queries.
- Ability to balance regulatory requirements with commercial objectives, and to work effectively with trading and operations teams.
Preferred Background:
- Degree in law, finance, business, or related discipline.
- Professional compliance certifications (e.g., CAMS, ICA, ACAMS) are an advantage.
- Prior exposure to MAS PSA SPI obligations (AML, safeguarding, cyber hygiene) and VARA broker-dealer licensing frameworks highly valued.
About Caladan
Caladan makes digital asset markets more efficient and fair. We support exchanges, tokens, and institutional investors with on-exchange liquidity, DeFi expertise, treasury solutions, and investments. Since 2017 we've been a pioneer in crypto market-making, powering over $50B in annual transactions across 1000+ assets.