Compliance, Risk Management & Paralegal Lead

Company Description

OCTAVE Capital is a Singapore-based impact investment firm redefining capital as a force for good. The firm invests globally, with a focus on building a more regenerative, inclusive, and resilient economy in Asia. Adopting a systems-driven approach, OCTAVE Capital partners with founders, businesses, and ecosystem stakeholders to scale solutions that address complex global challenges while delivering sustainable financial returns. OCTAVE Capital is a Capital Markets Services-licensed fund manager regulated by the Monetary Authority of Singapore, with deep experience across venture capital and growth equity. The firm combines disciplined investment with active stewardship to deliver both impact and performance.

Role Overview

The ideal candidate will take ownership of the firm's compliance, regulatory, and paralegal functions, supporting investment activities across venture- and growth-stage companies in the environmental and social sectors. The role offers broad exposure across the investment platform, from ensuring regulatory compliance and governance, risk management, to advising on transaction structuring, legal documentation, and fund-related matters.

You will be a key partner to the investment team by providing compliance, regulatory and documentation support throughout the investment lifecycle, including deal execution, portfolio oversight, and investor-related obligations, while coordinating closely with external legal counsel where required.

This role is suited for a proactive, commercially minded professional with strong judgment and attention to detail, able to operate independently while upholding high regulatory standards, and motivated to build a meaningful career in impact investing.

Role Responsibilities

1.Legal & Advisory

·        Support and coordinate the review, finalisation and execution of legal documents with internal stakeholders and external counsel, including:

-      Investment agreements, SPA / SHA term sheets, and side letters

-      Service agreements and vendor contracts

-      Non-Disclosure Agreements (NDAs)

·        Provide paralegal and documentation support across transactions (entry, portfolio, and exit) in coordination with external counsel

·        Provide paralegal and documentation support across fund operations and investment transactions.

·        Support fundraising activities, including PPMs, LP agreements, and side letters.

·        Support fund operations and transactions from a documentation and coordination perspective.

·        Assist in reviewing deal structures for regulatory, compliance, and fiduciary considerations.

·        Review, coordinate, and manage legal documentation with external counsel.

·        Support internal stakeholders on legal documentation, regulatory, and risk matters impacting investments and operations. 

2.Regulatory Compliance, Oversight & Monitoring

·        Act as Compliance Officer and as the Primary point of contact with MAS.

·        Lead the compliance function and ensure adherence to all applicable regulations and guidelines issued by the Monetary Authority of Singapore for a Licensed Fund Management Company (LFMC), such as the Environmental Risk Management for Asset Managers.

·        Manage the Enterprise Risk Management Framework in developing risk management strategies and adherence at the operational level.

·        Manage and enhance AML systems, including tuning thresholds, parameters, and periodic testing.

·    Manage regulatory engagement, including MAS queries, inspections, and regulatory filings/notifications.

·        Monitor regulatory developments and advise senior management on compliance risks and business impact.

·        Liaise with Internal and External Auditors on risk management and compliance-related matters and follow-ups.

·        Oversee AML/CFT framework, including onboarding due diligence, transaction monitoring, alert investigations, post-transaction reviews, and filing of Suspicious Transaction Reports (STRs).

·        Oversee data protection and technology risk, ensuring compliance with the Personal Data Protection Act 2012 and alignment with the Monetary Authority of Singapore technology risk management expectations.  

3.Fund & Governance Oversight

·        Monitor compliance with fund mandates, investment restrictions, and investor-related obligations.

·        Maintain and enhance policies, procedures, and internal controls in line with regulatory requirements and best practices.

·        Oversee conflicts of interest management and ensure fair and equitable treatment of investors (LPs), in line with fund documentation and regulatory expectations.

·        Support risk management, incident/breach reporting, record keeping, and outsourcing oversight

·        Support governance structures, including Board, Investment Committee (IC), and Fund Advisory Committee (FAC), ensuring proper documentation and adherence to fiduciary standards.

·        Lead the Audit and Risk Committee reporting to the Board.

4.Process Improvement

·        Support compliance-related projects, system implementations, and process enhancements to strengthen controls and operational efficiency

·        Lead the risk management framework across operational risk, investment risk (in coordination with the investment team), and regulatory and compliance risk.

·        Develop and execute a risk-based Compliance Monitoring Programme, including periodic reviews, testing, and reporting of findings.

Job Requirements

·        Bachelor's degree in Law or Diploma in Legal Studies, ideally complemented by finance or compliance qualifications or related discipline.

·        8 years of relevant experience in compliance and/or paralegal roles within fund management, asset management, private equity, venture capital, or financial institutions.

·        Strong knowledge of Singapore regulatory frameworks applicable to LFMCs, including requirements from the Monetary Authority of Singapore (AML/CFT, fund management, PDPA, TRM).

·        Working knowledge of fund structures and investment compliance requirements.

·        Experience in AML/CFT, regulatory reporting, and dealing with regulators (e.g. MAS inspections/queries).

·        Proven experience in independently managing a compliance function and executing a Compliance Monitoring Programme.

·        Admission as a lawyer in Singapore or a common law jurisdiction would be advantageous but is not mandatory.

·        Strong communication, analytical, and stakeholder management skills.

·        Self-starter with the ability to operate independently in a lean, fast-paced environment.

Highly meticulous, detail-oriented, and careful in execution, with strong ability to identify and escalate regulatory and operational risks.