Head of Compliance

🏢 The CompanyOur client is an established, globally backed financial institution with a strong footprint across the APAC region. Built on deep roots in institutional and capital-markets businesses, the group is now investing heavily in a new digital retail brokerage platform — a high-profile, board-sponsored initiative that will bring its trading and securities capabilities directly to individual investors across the region.The Singapore business is entering an exciting growth phase and expects to scale meaningfully as the new platform comes to market. This is a rare chance to help lay the compliance foundations of a greenfield brokerage venture from the ground up, all within the stability of a well-capitalised, regionally connected group.📋 ResponsibilitiesThis is a senior, hands-on mandate focused on the regulatory and licensing agenda for the group's new retail brokerage platform — ideal for a builder who enjoys getting into the detail rather than purely overseeing.Lead the regulatory and licensing workstream for the new platform — from MAS licence applications and variations through to meeting ongoing regulatory conditionsAct as the principal compliance adviser to senior management on the regulatory implications of new products, digital channels, outsourcing, partnerships and technology buildsDesign and embed the compliance framework, policies, procedures and controls for the new business, ensuring it sits comfortably alongside the group's existing regulated activitiesProvide independent compliance oversight and challenge across the platform's design, launch and day-to-day operationOwn core compliance disciplines including AML/CFT, KYC/CDD, transaction and trade surveillance, market conduct, regulatory reporting, representatives' conduct and conflicts managementRun a risk-based monitoring programme, track adherence to internal and regulatory standards, and see remediation through to closeEstablish product governance and approval processes that keep customer-protection standards front and centreServe as the primary liaison with MAS, SGX and other regulators — managing inspections, thematic reviews, enquiries and submissionsKeep senior management informed through regular compliance reporting, escalating material regulatory or conduct issues promptlyChampion a strong compliance culture, delivering training and building regulatory awareness across the business✅ RequirementsDegree in Law, Finance, Accounting, Business or a related disciplineRecognised compliance, legal, audit or financial-services credentials (e.g. ICA, ACAMS/CAMS, ICA Diploma, CPA, CFA or a legal qualification) are a plus10–15 years' compliance experience in financial services, including at least 5 years in a senior compliance capacitySolid track record within a MAS-regulated institution — ideally in securities brokerage, capital markets or investment servicesExposure to both institutional and retail client businesses would be a distinct advantageStrong working knowledge of the SFA, FAA, AML/CFT requirements, SGX rules and related MAS guidanceFamiliarity with the compliance and regulatory demands of brokerage operations — client onboarding, trade surveillance, market conduct, reporting and customer protectionExperience with online trading platforms, digital channels or fintech-style financial services is highly desirableCommercially minded, with a talent for practical, risk-based solutions that still hold the regulatory lineA confident communicator and stakeholder manager, comfortable engaging everyone from front-office teams to regulatorsSharp analytical and sound judgement skills for a fast-moving regulatory environmentHigh personal integrity and independence, and able to satisfy MAS's Fit and Proper criteria