Job Summary:
The Chief Executive Officer (CEO) will play a pivotal role in leading the company through its Capital Markets Services (CMS) licence application process and in establishing the governance, operational, and compliance frameworks necessary for future licensed operations under the Monetary Authority of Singapore (MAS). Thisrole requires a leader with deep knowledge of Singapore's capital markets and regulatory environment, who can work closely with legal, compliance, and operational teams to ensure the company's successful licensing and readiness for launch.
Key Responsibilities
- Ensure the company operates in full compliance with the Securities and Futures Act (SFA), and all relevant MAS Notices, Guidelines, and Licensing Conditions, providing the Company with advice and support on all Compliance Matters
- Oversee the implementation and maintenance of the company's compliance framework, including AML/CFT controls.
- Coordinate with the Compliance Officer to handle regulatory filings, audits inspections, and correspondence with MAS.
- Develop and execute the company's business strategy, ensuring activities remain within the scope of its CMS licence (e.g., fund management, dealing in capital markets products, advising).
- Maintain a strong corporate culture emphasizing integrity, risk awareness, and regulatory compliance.
- Ensure the company meets all base capital and financial reporting requirements under MAS regulations.
- Review and approve financial statements and audit results.
- Supervise the implementation of risk management systems, including operational, market, and credit risk.
- Maintain effective corporate governance practices and internal control policies.
- Promote a compliance-first culture, with regular employee training and conduct monitoring.
- Address and resolve client complaints and internal misconduct appropriately.
Requirements:
- Minimum 10 years of relevant experience in capital markets, investment management, corporate finance, or related financial services sectors, preferred in broker-dealer.
- Proven track record in a senior leadership or C-level role within a regulated financial institution.
- Demonstrated familiarity with MAS regulatory requirements and Singapore's financial ecosystem.
- Bachelor's degree in Finance, Economics, Business Administration, or a related discipline
- Strong interpersonal and communication skills, with the ability to engage regulators, partners, and internal stakeholders effectively.
- High level of integrity, professionalism, and judgment.
HOW TO APPLY:
Interested applicants, kindly send your resume in MS WORD format or please click on Apply Now.
We regret only shortlisted candidates will be notified.
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