Compliance

Your tasks

Assist the Head of Compliance to oversee the Company's compliance function across its institutional/capital markets and new retail brokerage businesses and develop, maintain and enhance the Company's compliance framework, policies, procedures and controls to ensure alignment with applicable laws, regulations and industry best practices.

Regulatory Compliance & Advisory

• Ensure ongoing compliance with all applicable MAS, SGX and other regulatory requirements, including the Securities and Futures Act, Financial Advisers Act, AML/CFT requirements, and relevant regulatory notices and guidelines.
• Provide advisory and guidance to business and support functions on regulatory requirements, business initiatives, products, services and operational matters.
• Monitor regulatory developments, assess their impact on the Company's business activities and processes, and coordinate the timely implementation of regulatory changes.
• Work with internal stakeholders and external legal counsel and other stakeholders to review and advise on agreements, contractual arrangements and documentation relating to new business initiatives and ongoing operations.
• Advise on regulatory implications arising from new products, business initiatives, digitalisation projects, outsourcing arrangements, strategic partnerships and technology implementations.

Compliance Oversight & Monitoring

• Oversee key compliance areas including AML/CFT, KYC/CDD, transaction and trade surveillance, market conduct, regulatory reporting, representatives' conduct and conflicts of interest.
• Provide independent compliance review, oversight and challenge to business and operational activities, including the development, launch and ongoing operation of the retail trading platform.
• Establish and maintain a risk-based compliance monitoring programme to assess adherence to regulatory requirements and internal policies.
• Establish and oversee product governance and approval processes to ensure compliance with applicable regulatory requirements and customer protection standards.

Regulatory Engagement & Reporting

• Assist in regulatory engagements, inspections, thematic reviews, enquiries and submissions involving MAS, SGX and other regulatory authorities.
• Perform regulatory licensing, approval and notification matters relating to new products, services and business activities, including licence applications, variations and ongoing regulatory obligations.
• Prepare and provide regular compliance reports to Senior Management, relevant committees and the Board, and ensure timely escalation of significant compliance, regulatory and conduct-related matters.

Compliance Culture & Training

• Develop and deliver compliance training, awareness and communication programmes for employees, representatives and Senior Management to promote regulatory awareness and ethical business conduct.
• Drive a strong culture of compliance by embedding regulatory and conduct considerations into day-to-day business activities and decision-making across the organisation.

Requirements

• Bachelor's degree in Law, Finance, Accounting, Business or a related discipline.
• Professional compliance, legal, audit or financial services qualifications (e.g., ICA,ACAMS, CAMS, ICA Diploma, CPA, CFA, Law degree or equivalent) would be an advantage.
• At least10 - 15 years of compliance experience within the financial services industry
• Strong experience within a MAS-regulated financial institution, preferably insecurities brokerage, capital markets, investment services or other regulated financial services businesses.
• Experience supporting both institutional and retail investor businesses would be highly advantageous.
• Sound knowledge of MAS regulations, the Securities and Futures Act (SFA), Financial Advisers Act (FAA), AML/CFT requirements, SGX rules and related regulatory guidelines.
• Strong understanding of compliance risks and regulatory expectations relating to brokerage operations, market conduct, client onboarding, trade surveillance, regulatory reporting and customer protection.
• Experience with online trading platforms, digital channels, fintech initiatives or technology-enabled financial services would be advantageous.
• Strong commercial acumen with the ability to provide practical, risk-based solutions while maintaining regulatory compliance.
• Excellent leadership, stakeholder management and interpersonal skills, with the ability to influence and collaborate effectively across all levels of the organisation.
• Strong analytical, problem-solving and decision-making capabilities, with the ability to exercise sound judgement in a dynamic regulatory environment.
• Excellent written and verbal communication skills, including the ability to present complex regulatory matters clearly and concisely to Senior Management, Board members and regulators.
• High level of integrity, professionalism and independence.
• Must satisfy the MAS Fit and Proper criteria.