ED, Head of Legal & Compliance, FI

About Our Client

Our client is a well-established financial institution with a strong presence in Asia. Due to internal mobility, the organisation is looking to appoint an Executive Director, Head of Legal & Compliance to lead its legal and regulatory function.

This is a senior leadership role with oversight of both legal and compliance, partnering closely with business and senior stakeholders to ensure robust governance and regulatory adherence.

Key Responsibilities

• Lead and oversee the Legal & Compliance function across regulated activities

• Provide legal advisory and compliance guidance to the business on a day-to-day basis

• Partner closely with senior stakeholders to manage regulatory risk while supporting business objectives

• Oversee regulatory engagement and manage relationships with relevant authorities

• Drive the development, implementation, and enhancement of compliance frameworks, policies, and procedures

• Provide legal support on business initiatives, including product launches and client documentation

• Monitor and interpret regulatory developments, advising the business on implications

• Lead and mentor the Legal & Compliance team

• Support governance matters including committee and board-level reporting

Requirements

• 15+ years of relevant experience across legal and compliance within financial institutions

• Qualified lawyer with strong post-qualification experience (PQE), combined with hands-on compliance experience

• Prior experience within a CMS-licensed environment is highly preferred

• Strong business knowledge across investment products, equities, and/or private banking

• Proven ability to balance regulatory requirements with commercial considerations

• Experience engaging with senior stakeholders and regulators

• Strong leadership capability with experience managing teams

• Strong communication skills, with the ability to engage stakeholders across different markets; proficiency in Mandarin would be advantageous to support interactions with Mandarin-speaking stakeholders across North Asia

Application Process

Please submit your resume to Emily Tan at [Confidential Information], quoting the job title. Only shortlisted candidates will be contacted.

EA License No. 24S2395

Registration No. R1106860