Head of Compliance

Handling in-house legal and compliance recruitment for Asia An established APAC HQ investment bank is seeking to newly launch their digital brokerage platform. For this they’re seeking a seasoned compliance professional to spearhead regulatory efforts and licensing activity for the Singapore branch. The platform is an initiative from HQ and will be their first retail focused business here. This investment and trading venture will launch in Singapore utilising resources from their HK office and their HQ. With operational autonomy and a consumer‑centric mandate, this initiative benefits from being embedded within a well‑resourced financial institution while maintaining startup agility; an optimal fintech start‑up setting. Reporting to both the investment bank CEO, the Head of Compliance will play a foundational role in shaping and embedding regulatory infrastructure, starting as an individual contributor with a view to building a compliance team as the business scales. Responsibilities Licensing & Regulatory Approvals : Lead the full cycle of licensing efforts for Singapore’s capital markets regulatory framework, ensuring timely submission and follow‑ups with the relevant financial authority. Establish Compliance Programs : Create and implement comprehensive compliance, risk, and internal governance policies aligned with local laws and broader industry practices. Risk Oversight : Design procedures for risk detection and escalation, conduct regular risk assessments, and oversee internal risk reporting and threshold‑setting. Policy Development : Draft core policies covering AML, KYC, trade monitoring, and margin financing risk oversight in coordination with internal stakeholders. Board and Management Reporting : Deliver periodic compliance reports to senior leadership and board members, highlighting key developments, breaches, or escalations. Stakeholder Engagement : Serve as the key liaison for external stakeholders, including regulators, auditors, and external counsel, particularly throughout the licensing and launch phases. Regulatory Insight & Advisory : Act as a trusted advisor to the leadership team, interpreting evolving regulatory changes and advising on their commercial implications. Training & Culture : Build awareness and understanding of compliance obligations across teams through internal training and practical guidance. Product Collaboration : Partner with product and engineering teams to embed compliance into platform design, onboarding journeys, and user experience. Incident Management : Develop processes for breach reporting, issue remediation, and incident tracking in line with statutory and internal requirements. Requirements Certifications such as ICA or CAMS will be considered advantageous. Industry Experience : 10+ years of relevant experience in compliance, preferably within a retail brokerage, securities trading or investment platform. Prior work on capital markets licensing in Singapore is critical. Regulatory Acumen : Thorough knowledge of Singapore’s capital markets regulatory regime, particularly MAS regulations related to retail trading. Startup Experience : Comfortable working in early‑stage, build‑from‑scratch environments. Demonstrated ability to independently set up compliance operations and regulatory frameworks. Strategic and Operational Balance : Capable of executing tactical responsibilities while contributing to longer‑term compliance strategy and team development. Team Leadership : Ability to scale compliance operations post‑licensing and provide leadership across emerging markets. Stakeholder Skills : Proven ability to engage confidently with C‑level stakeholders, regulators, and cross‑functional partners. Mindset & Attributes Commercial and solution‑driven in approach Analytical with a strong grasp of risk management principles Practical, diplomatic, and resilient when navigating complex or high‑pressure discussions A collaborative team player with the maturity to influence without authority Adaptable, hands‑on, and energized by a high‑growth, high‑accountability environment Functional Expertise Across Know Your Customer (KYC) and Anti‑Money Laundering (AML) for retail investing platforms Regulatory submissions and periodic reporting Credit and margin finance risk (desirable but not mandatory) Trade monitoring and surveillance #J-18808-Ljbffr