Head of Compliance, Wealth Management

10 hours ago

Singapore Longbridge Singapore Full time

We are seeking an experienced
Compliance Leader
to oversee and strengthen the compliance framework for our Wealth Management (WM) business. You will be responsible for ensuring adherence to regulatory requirements, managing risk controls, and driving a culture of compliance across the organization.
Key Responsibilities:
Compliance & Risk Framework:
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
Seniority level Mid-Senior level
Employment type
Employment type Full-time
Job function
Job function Legal
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