COMPLIANCE HEAD | ASSET MANAGEMENT, SECURITIES & WEALTH
Our Client, a leading North Asia origin Financial Institution with an established international presence is seeking a commercially minded Head of Compliance to lead and oversee its compliance function in Singapore. The Group operates across brokerage, capital markets, wealth management, asset management, fixed income, and cross-border financial services, serving institutional investors, accredited investors, family offices, and high-net-worth clients across Asia. Singapore serves as a key regional hub supporting Southeast Asia expansion and connectivity with its home markets.
This role offers the opportunity to work closely with senior management and regional stakeholders in a growth-oriented environment focused on internationalisation and cross-border financial services.
- Primary liaison with the Monetary Authority of Singapore and other regulators. Lead and manage the Singapore compliance function across regulated entities and business activities.
- Provide regulatory and compliance advisory across brokerage, capital markets, wealth management, and asset management businesses.
- Ensure ongoing compliance with applicable Singapore regulatory requirements, including Capital Markets Services licence obligations.
- Develop, implement, and enhance compliance frameworks, policies, controls, and monitoring programmes.
- Oversee AML/CFT, sanctions, and financial crime compliance frameworks in line with regulatory expectations and internal standards.
- Review and advise on new products, business initiatives, and cross-border activities from a regulatory and compliance perspective.
- Lead regulatory reporting, compliance reviews, internal investigations, and regulatory inspections.
- Partner closely with regional and group compliance teams to support governance and risk management initiatives; conduct compliance training and promote a strong compliance culture.
Requirements
- Minimum 15 - 20 years of relevant compliance leadership experience within securities, brokerage, asset management, or capital markets institutions.
- Strong knowledge of Singapore financial regulations and MAS regulatory frameworks, particularly relating to capital markets and securities activities.
- Proven experience engaging directly with regulators and managing regulatory inspections.
- Familiarity with cross-border financial services with North Asia, and regional regulatory considerations is highly advantageous.
- Strong understanding of AML/CFT, sanctions, conduct risk, and regulatory governance.
- Demonstrated leadership capabilities with experience managing teams and working with senior stakeholders.
- Commercially minded, solutions-oriented, and able to operate effectively in a fast-paced environment.
- Proficiency in Mandarin can be helpful to facilitate international stakeholder engagement.
What the Firm Offers
- Opportunity to join a growing international platform with strong regional connectivity.
- Exposure to cross-border capital markets and international business initiatives.
- Collaborative and entrepreneurial working environment.
- Leadership visibility within the organisation.
If you are interested in this opportunity, please forward your application with your resume to Zaixian ([Confidential Information]).
PAN & COMPANY PTE LTD | Licence 18S9074 R1104293
