About Us
Longbridge is a leading next-generation online brokerage in Singapore and Hong Kong, dedicated to bridging technology and wealth through an intelligent investment experience. Driven by a Securities + Technology philosophy, we are a globally regulated institution authorized by the Monetary Authority of Singapore (MAS) and the Securities and Futures Commission (SFC) of Hong Kong.
As we expand our footprint into Malaysia, we are leveraging our cloud-native infrastructure and AI-driven insights to redefine capital market access. We are seeking a high-caliber regulatory professional to lead our compliance function and ensure our Malaysian operations uphold the highest standards of integrity and excellence.
Role Overview
As the Head of Compliance, you will be responsible for the overall regulatory and AML/CFT framework for our Malaysian entity. You will serve as the primary liaison with the Securities Commission (SC) Malaysia and Bursa Malaysia. This role is a Registered Person function, requiring you to ensure that the firm's activities—including securities dealing and digital platform operations—remain in strict accordance with the Capital Markets and Services Act 2007 (CMSA).
Key Responsibilities
- Regulatory Registration & Liaison: Lead the registration process for the firm and its licensed representatives with the SC Malaysia. Act as the official point of contact for the SC, Bursa Malaysia, and other relevant authorities.
- Compliance Framework & Monitoring: Develop and implement a comprehensive compliance manual and monitoring program aligned with the SC's Licensing Handbook and Guidelines on Conduct for Intermediaries.
- AML/CFT & Regulatory Reporting: Oversee the firm's AML/CFT framework in compliance with Bank Negara Malaysia (BNM) and SC requirements. Manage the submission of all statutory returns and notifications.
- Governance & Internal Controls: Establish robust internal controls and Three Lines of Defense governance. Provide independent reporting to the Board of Directors on the firm's compliance health.
- Market Conduct & Supervision: Monitor trading activities and client onboarding (e-KYC) processes to prevent market misconduct, such as front-running or churning, and ensure fair treatment of customers.
- Digital & Fintech Compliance: Provide regulatory oversight for our proprietary trading technology and AI-driven tools, ensuring compliance with SC Guidelines on Management of Cyber Risk and Technology Risk.
- Advisory & Training: Act as an internal consultant for new product launches and marketing initiatives. Conduct regular compliance training to foster a strong ethical culture across the organization.
Requirements
- Experience: Minimum of 10 years in financial services compliance, with at least 5 years in a Head of Compliance or senior leadership role within a Malaysian stockbroking or capital markets environment.
- Professional Qualifications: Must meet the SC Malaysia's criteria for a Head of Compliance, including: A recognized degree in Law, Finance, or Accounting. Successful completion of SC Licensing Examination Module 11 (Fundamentals of Compliance) and other relevant modules (e.g., Modules 6 & 7).
- Regulatory Expertise: Deep familiarity with the Capital Markets and Services Act 2007 (CMSA), SC Licensing Handbooks, and Bursa Malaysia Business Rules.
- Industry Standing: Proven track record of dealing with Malaysian regulators; existing registration with the SC is highly preferred.
- Mindset: A tech-savvy leader who understands the intersection of traditional securities laws and modern fintech innovation.
