A MAS-regulated financial institution with institutional/capital markets and retail brokerage businesses is looking for an experienced Head of Compliance to lead and oversee its compliance function. This is a senior leadership role serving as the principal compliance adviser to Senior Management, relevant committees, and the Board on regulatory obligations, compliance risks, and strategic initiatives.
In this role, you will develop, maintain, and enhance the Company's compliance framework, policies, and controls, and lead, manage, and develop the Compliance team. You will ensure ongoing compliance with MAS, SGX, and other regulatory requirements, including the Securities and Futures Act, Financial Advisers Act, and AML/CFT requirements, and oversee key compliance areas such as KYC/CDD, transaction and trade surveillance, market conduct, and regulatory reporting, including independent review and oversight of the retail trading platform. You will lead regulatory engagements, inspections, and submissions involving MAS, SGX, and other authorities, prepare compliance reporting for Senior Management and the Board, and drive compliance training and awareness across the organisation.
The ideal candidate will possess at least 10 years of relevant compliance experience within the financial services industry, including at least 5 years in a senior compliance leadership role, preferably within a MAS-regulated securities brokerage, capital markets, or investment services business, with experience supporting both institutional and retail investor businesses highly advantageous. Candidates should have sound knowledge of MAS regulations, the Securities and Futures Act, Financial Advisers Act, AML/CFT requirements, and SGX rules, strong commercial acumen, leadership, and stakeholder management skills, and must satisfy the MAS Fit and Proper criteria. Relevant professional qualifications (e.g. ICA, ACAMS, CFA) would be an advantage.
If you’re interested, please apply via the link or email your updated resume to wanyee.pang@ethosbc.com.
WP
Reg No. R2094093
BeathChapman Pte Ltd
Licence no. 16S8112
