Wealth Management Compliance Lead

24 hours ago

Singapore beBeeRegulator Full time $90,000 - $120,000
Job Title">

We are looking for a seasoned Compliance Expert to lead our Wealth Management (WM) business in regulatory compliance. This role involves ensuring adherence to regulatory requirements, managing risk controls, and fostering a culture of compliance across the organization.

Key Responsibilities:

  • Develop and maintain WM compliance policies, operational guidelines, and risk control mechanisms.
  • Ensure robust compliance across client suitability, product reviews, sales processes, and business operations.

Investor Suitability Management:

  • Design and optimize client risk assessment systems and product suitability standards (e.g., funds, structured products).
  • Embed risk-matching logic into digital platforms (App/Web) to ensure regulatory-compliant client-product alignment.
  • Review WM products (structure, disclosures, legal docs) and marketing materials to prevent mis-selling risks.
  • Establish compliance requirements for sales teams and monitor adherence.

Regulatory Engagement:

  • Monitor and interpret regulations (HKMA/SFC, MAS) impacting retail & private wealth businesses.
  • Act as the primary regulatory liaison (e.g., SFC/MAS), handling filings, audits, and licensing obligations.

Compliance Culture:

  • Conduct training and promote awareness to embed compliance in product design, sales, and operations.

Qualifications:

  • 8+ years of wealth management compliance experience, with in-depth knowledge of SFC (Hong Kong) and/or MAS (Singapore) regulations, including client suitability, product governance, and sales practices.
  • Proven track record in designing and implementing compliance policies, risk controls, and investor protection mechanisms for WM businesses (retail & private wealth).
  • Experience interacting with regulators (e.g., SFC, MAS) for filings, audits, and licensing matters.
  • Ability to collaborate with product, legal, sales, and tech teams to embed compliance in business processes.
  • Proactive & solution-driven, with the ability to balance regulatory requirements and business growth.

Seniority Level: Mid-Senior

Employment Type: Full-time

Job Function: Legal

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Senior Job TitlesHead of Legal and Compliance, Dir (Fintech)Associate Director, Compliance, Capital MarketsDirector, Regional Compliance and ControlsCompliance Director – Global Alternative Fund HouseDirector / Associate Director – Core ComplianceDirector of Regulatory Affairs and QualityGroup Chief Legal Officer / SVP, Head of Legal (Fintech, FIs)Director, Head of Investor Services Asia PacificDeputy Head of Operations / Head of Administration and ComplianceHead of Legal and Compliance, Director (Fintech)Head of Compliance (Regulatory & Licensing – MAS Insurance Brokerage)Executive Director, Head of CBG & Wealth KYC Review, Consumer Banking GroupAssociate Director, Institutional Client Group

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