Head of Compliance

The Company

Our client is an established, globally backed financial institution with a strong footprint across the APAC region. Built on deep roots in institutional and capital-markets businesses, the group is now investing heavily in a new digital retail brokerage platform — a high-profile, board-sponsored initiative that will bring its trading and securities capabilities directly to individual investors across the region.

The Singapore business is entering an exciting growth phase and expects to scale meaningfully as the new platform comes to market. This is a rare chance to help lay the compliance foundations of a greenfield brokerage venture from the ground up, all within the stability of a well-capitalised, regionally connected group.

Responsibilities

This is a senior, hands-on mandate focused on the regulatory and licensing agenda for the group's new retail brokerage platform — ideal for a builder who enjoys getting into the detail rather than purely overseeing.

• Lead the regulatory and licensing workstream for the new platform — from MAS licence applications and variations through to meeting ongoing regulatory conditions
• Act as the principal compliance adviser to senior management on the regulatory implications of new products, digital channels, outsourcing, partnerships and technology builds
• Design and embed the compliance framework, policies, procedures and controls for the new business, ensuring it sits comfortably alongside the group's existing regulated activities
• Provide independent compliance oversight and challenge across the platform's design, launch and day-to-day operation
• Own core compliance disciplines including AML/CFT, KYC/CDD, transaction and trade surveillance, market conduct, regulatory reporting, representatives conduct and conflicts management
• Run a risk-based monitoring programme, track adherence to internal and regulatory standards, and see remediation through to close
• Establish product governance and approval processes that keep customer-protection standards front and centre
• Serve as the primary liaison with MAS, SGX and other regulators — managing inspections, thematic reviews, enquiries and submissions
• Keep senior management informed through regular compliance reporting, escalating material regulatory or conduct issues promptly
• Champion a strong compliance culture, delivering training and building regulatory awareness across the business

Requirements

• Degree in Law, Finance, Accounting, Business or a related discipline
• Recognised compliance, legal, audit or financial-services credentials (e.g. ICA, ACAMS/CAMS, ICA Diploma, CPA, CFA or a legal qualification) are a plus
• 10–15 years compliance experience in financial services, including at least 5 years in a senior compliance capacity
• Solid track record within a MAS-regulated institution — ideally in securities brokerage, capital markets or investment services
• Exposure to both institutional and retail client businesses would be a distinct advantage
• Strong working knowledge of the SFA, FAA, AML/CFT requirements, SGX rules and related MAS guidance
• Familiarity with the compliance and regulatory demands of brokerage operations — client onboarding, trade surveillance, market conduct, reporting and customer protection
• Experience with online trading platforms, digital channels or fintech-style financial services is highly desirable
• Commercially minded, with a talent for practical, risk-based solutions that still hold the regulatory line
• A confident communicator and stakeholder manager, comfortable engaging everyone from front-office teams to regulators
• Sharp analytical and sound judgement skills for a fast-moving regulatory environment
• High personal integrity and independence, and able to satisfy MAS's Fit and Proper criteria