Empower Partners is partnering with a leading financial institution to appoint a seasoned Head of Legal & Compliance to lead its legal, regulatory and compliance function in Singapore.
This is a senior leadership role with broad oversight across legal advisory, regulatory compliance, AML, governance and stakeholder management for the business.
Key Responsibilities
- Provide legal and regulatory advisory across capital markets and investment banking activities, including ECM/DCM transactions, underwriting and securities offerings.
- Lead the firm's compliance, AML and transaction monitoring framework in line with MAS and SGX regulatory requirements.
- Act as the key liaison with regulators on licensing matters, inspections and regulatory inquiries.
- Oversee information barriers, conflicts management, governance frameworks and internal controls.
- Review regulatory disclosures, legal documentation and transactional materials.
- Drive compliance reviews, policy enhancements, training initiatives and remediation programmes.
- Partner closely with senior management, business stakeholders and external counsel on legal and regulatory matters.
Requirements
- 15–20 years of relevant legal and compliance experience within financial institutions, investment banks or securities firms.
- Strong knowledge of MAS regulations, SFA, FAA, SGX rules and Singapore regulatory frameworks.
- Preferred experience within securities, investment banking and fixed income environments.
- Proven track record managing regulatory engagements, audits and compliance programmes.
- Prior leadership experience managing legal and compliance teams.
Application Process:
Interested candidates should submit their resume to Foo Jun Jie at [Confidential Information], quoting the job title. Only shortlisted candidates will be contacted.
License No: 24S2395
Registration No: R1551124
