As the Compliance Lead, you will lead the Compliance function by providing strategic regulatory and compliance oversight, advising senior management on regulatory and compliance risks, and ensuring the company maintains an effective compliance framework in line with applicable regulatory requirements and industry best practices.
Key Responsibilities
Regulatory Compliance & Advisory
- Lead and enhance the firm's compliance framework, policies and internal controls to ensure compliance with applicable regulatory requirements
- Provide regulatory and compliance advisory support across capital markets products and services, including securities, exchange-traded derivatives, collective investment schemes, structured products and digital brokerage initiatives
- Monitor and assess regulatory developments, including MAS regulations, SFA, FAA, MAS Notices and Guidelines, and exchange rules
- Advise stakeholders on regulatory obligations, new business initiatives, product launches, cross-border activities and conduct-related matters
- Oversee regulatory submissions, reporting obligations and compliance-related governance matters
- Involves in the application of licenses locally and globally as requested by the company
AML/CFT & Financial Crime Prevention
- Oversee and strengthen the firm's AML/CFT and financial crime compliance framework in accordance with MAS requirements
- Ensure effective implementation of AML/CFT controls, including customer due diligence, transaction monitoring, sanctions screening and suspicious transaction escalation processes
- Lead AML/CFT risk assessments, compliance reviews and regulatory reporting obligations where required
Surveillance, Monitoring & Governance
- Oversee trade surveillance, compliance monitoring and governance processes to identify and mitigate regulatory and compliance risks
- Oversee outsourcing governance, conflict management, complaints handling and cross-border marketing compliance
- Ensure effective escalation, reporting and remediation processes are maintained for compliance and regulatory matters
Regulatory Engagement
- Act as the key liaison with regulators, exchanges, auditors and external counsel on compliance, audit and regulatory matters
- Lead responses to regulatory queries, inspections, audits and thematic reviews
Leadership, Projects & Culture
- Foster a strong compliance culture across the organisation through effective engagement, training and awareness initiatives
- Participate in strategic projects, digital platform enhancements and regulatory change initiatives
- Support Business Continuity Planning (BCP), operational resilience initiatives and governance-related matters
- Support ad-hoc compliance, regulatory and risk management projects as assigned by management
Skills And Proficiencies
- Degree in Business, Accountancy, Finance or a related field
- Minimum 8 years of relevant compliance experience within banking, brokerage, fintech or capital markets environments, with experience in a leadership or managerial capacity preferred
- Strong working knowledge of MAS regulatory requirements, include the SFA, FAA, AML/CFT requirements, MAS Notices and Guidelines, and SGX-ST / SGX-DT Rules
- Experience handling regulatory inspections, audits and engagements with regulators and exchanges would be advantageous
- ICA, CAMS, IBF or other relevant professional certifications would be an added advantage
- Strong understanding of financial markets, capital markets products, compliance risk management and regulatory governance frameworks
- Strong analytical, communication and stakeholder management skills, with the ability to engage effectively with senior management and business stakeholders
- Proficiency in Mandarin would be advantageous to support communication with Mandarin-speaking stakeholders and regional counterparts
- High level of integrity, professionalism and accountability, with strong leadership and decision-making capabilities
