Compliance Officer

Arohi Asset Management Pte. Ltd. is seeking a Compliance Officer to report directly to the Chief Compliance Officer(“CCO”) and support the day-to-day administration, implementation, and continuous improvement and development of the Firm’s compliance programmes across relevant jurisdictions.

The role is intended to develop into atrusted understudy to the CCO. The successful candidate will progressively build the judgement, technical breadth and operating knowledge required toprovide effective coverage across the Firm’s MAS-regulated fund management business and its obligations as an SEC registered investment adviser. The Compliance Officer will work under the direction and supervision of the CCO andwill not replace the CCO’s designated authority, accountability or regulatory decision-making responsibilities.

This is not a narrow checklist or filing role. It requires someone who can translate regulatory requirements intopractical controls, challenge constructively, identify issues early and helpthe Firm operate safely. The role suits a compliance professional who wantsbroad exposure in a lean, high-accountability asset management environment andis prepared to take ownership beyond a fixed task list.

1.        Compliance Programme Administration and Governance

·      Assist withmaintaining and implementing the Firm’s Singapore and U.S. compliance manuals,Code of Conduct and Code of Ethics, supporting procedures, regulatory referencemaps and annual compliance calendars.

·      Maintaincompliance registers, logs, trackers and evidence repositories.

·      Support thepreparation of quarterly and annual compliance reports for the Board.

2.        RegulatoryMonitoring, Filings and Notifications

·      Monitor relevantdevelopments issued by MAS, the SEC and other applicable authorities, assesspotential impact and prepare implementation notes for the CCO.

·      Assist withperiodic and event-driven regulatory filings, submissions and notifications.

·      Supportmaintenance and review of Form ADV and related disclosure materials.

·      Assist withassessing filing or notification triggers arising from changes in ownership,directors, representatives, business activities, fund structures, assets undermanagement, service providers, disciplinary matters or other material events.

3.        Compliance Monitoring, Testing and Annual Reviews

·      Perform periodicreviews of internal control procedures, as assigned by the CCO.

·      Supportrisk-based monitoring and testing in accordance with the annual complianceplan.

·      Assist with theFirm’s annual compliance review.

4.        Personal Trading, MNPI and Conduct Controls

·      Administerpersonal account dealing workflows, including pre-clearance, holdings andtransaction reporting.

·      Support the CCOin administering MNPI controls, restricted lists, and expert-network complianceprocedures.

·      Review outsidebusiness activities, conflicts disclosures and other employee conduct mattersagainst applicable Firm policies.

·      Assist withonboarding compliance induction, annual training, policy acknowledgements, andcompliance certifications for Supervised Persons.

·      Promote promptescalation and accurate reporting without creating an unnecessarilybureaucratic compliance culture.

5.        AML/CFT, Sanctions and Investor Compliance

·      Assist with theadministration and oversight of the Firm’s AML/CFT and sanctions framework.

·      Coordinate withfund administrators and other service providers on investor onboarding.

·      Support reviewsof investor eligibility and offering restrictions, including accreditedinvestor, qualified client and qualified purchaser considerations whereapplicable.

·      Maintain clearrecords of screening, risk classification, approvals, escalations and relianceplaced on third-party providers.

·      Escalatesuspicious, inconsistent or incomplete information immediately to the CCO.

6.        Service Providers, Operations and Regulatory Readiness

·      Assist with duediligence and ongoing oversight of fund administrators, custodians, and othermaterial service providers.

·      Reviewservice-provider reports, control documentation, incidents, contractualobligations from a compliance-risk perspective.

·      Supportregulatory examinations, audits, investor operational due diligence and otherassurance exercises.

·      Help maintainaccurate books and records and retention schedules.

·      Participate inbusiness continuity, cybersecurity, privacy and operational-resilience reviewswhere the compliance function has oversight or reporting responsibilities.

7.        Advisory Support and Continuous Improvement

·      Provide timelyfirst-line compliance support to colleagues.

·      Convert newrules, findings and recurring questions into clear procedures, checklists,templates, controls or training.

·      Use technology toimprove monitoring, evidence management, regulatory research and workflowefficiency.

·      Take ownership ofad hoc compliance and governance projects and contribute beyond the strictboundaries of the role where the Firm’s needs require it.