Head of Compliance - Singapore

The Opportunity:

Reporting to the CEO this role will head of the compliance function in line with the capital market licence and will be the face of the business regarding MAS and other regulatory bodies.

The Job:

The head of compliance will manage and maintain the compliance framework to ensure a robust structure for internal stakeholders and clients. This function needs to anticipate and interpret existing and upcoming regulations to prepare the business accordingly.

Role & Responsibilities

• Ensure ongoing compliance with license obligations in Singapore, as well as dealing with MAS and other regulatory bodies as required in respect of client investigations and/or complaints;
• Maintain a compliance framework that adheres to all external regulatory legislation
• Ensure sufficient resources to effectively implement the compliance framework;
• Provide ongoing advice, training and instructional activities to the relevant business units
• Prepare and submit internal and external reports and make recommendations concerning any identified compliance related incident and/or breach;
• Ensure compliance risk measurement and monitoring is incorporated into day-to-day operations;
• Assist in the co-ordination of internal and external audits relating to compliance, including the ongoing implementation of respective recommendations made;
• Provide compliance support and advice in the implementation of new projects and initiatives

The Talent:

• Strong track record in a regulatory compliance role of minimum 5 years
• Previous experience managing relationships with MAS ideally in Capital Markets
• Understanding of Singapore regulation as it pertains to brokerage firm or online trading platform
• Ability to balance business acumen and robust compliance framework

Next Steps:

• Apply through this application or send your resume to [Confidential Information].
  

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