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 into the DIFC, we are leveraging our cloud-native infrastructure and AI-driven insights to redefine capital market access in the region. We are now seeking a dedicated regulatory leader to anchor our Dubai operations with world-class compliance and integrity.
Role Overview
As the Head of Compliance and Money Laundering Reporting Officer (MLRO), you will hold a Recognized Function under the DFSA regime. You will be the primary custodian of the firm's regulatory standing, ensuring our innovative trading services align with the DFSA Rulebook while fostering a culture of Compliance by Design.
Key Responsibilities:
- Regulatory & Licensing: Lead the DFSA license application process and act as the primary liaison with the regulator and external consultants.
- Compliance Framework: Design and maintain the compliance manual and internal controls for securities dealing, brokerage, and margin trading.
- AML/CFT (MLRO): Serve as the designated MLRO; oversee KYC/CDD, transaction monitoring, and suspicious activity reporting.
- Regulatory Reporting: Manage all mandatory filings, including PIR, annual reports, and capital adequacy notifications.
- Governance & Risk: Establish corporate governance frameworks and work with the CEO to mitigate regulatory and market conduct risks.
- Market Conduct: Monitor day-to-day trading and settlement operations to ensure adherence to DFSA Market Rules.
- Fintech Innovation: Provide regulatory guidance on proprietary trading technology and AI tools, ensuring data protection and cybersecurity compliance.
- Training & Policy: Translate DFSA Rulebooks (GEN, AML, COB, MIR) into actionable internal policies and lead staff training.
Requirements
- Experience: 10+ years in financial compliance, with 5+ years in a senior leadership role within brokerage or capital markets.
- Regulatory Track Record: Previous DFSA authorization as Compliance Officer/MLRO is highly preferred. Experience with MAS, SFC regulations or other Tier-1 regulatory framework is a significant advantage.
- Expertise: Deep knowledge of securities trading, derivatives, and digital trading platforms.
- Education: Degree in Law, Finance, or a related field. Relevant professional certifications are highly desirable.
- Mindset: A solution-oriented leader capable of balancing fast-paced fintech innovation with uncompromising ethical standards.
