Head of Compliance - Leading Securities/Brokerage
My client is a leading and growing Securities/brokerage firm and we are recruiting for a Head of Compliance mandate to be based in the Singapore office. You will be given the opportunity to support the business on all compliance related matters in the region, and we are looking for candidates who are looking to scale their career in a leading name in the industry.
Responsibilities for this Head of Compliance - Leading Securities/Brokerage role
- Lead and maintain the firm's compliance framework across regulated capital markets and derivatives activities.
- Provide regulatory and compliance advice to senior management and business stakeholders on new products, business initiatives, and trading activities.
- Act as the primary point of contact for MAS and relevant regulatory bodies.
- Lead regulatory inspections, reviews, enquiries, and ongoing supervisory engagement.
Requirements for this Head of Compliance - Leading Securities/Brokerage role
- At least 10 years of compliance experience within a MAS-regulated financial institution, brokerage, futures, securities, derivatives, or capital markets environment.
- Proven experience in a senior compliance leadership capacity, ideally as Head of Compliance or Deputy Head of Compliance.
- Strong working knowledge of the Securities and Futures Act (SFA), MAS Notices and Guidelines, AML/CFT regulations, and exchange rules.
- Experience supporting regulated trading, brokerage, derivatives, foreign exchange, or custody businesses.
- Demonstrated experience engaging directly with MAS and managing regulatory examinations and inspections.
