Compliance Officer / Manager
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About Us
Longbridge is a new-generation, AI-driven online brokerage on a mission to make investing smarter, simpler, and more accessible for everyone. Headquartered in Singapore, we are redefining the investment journey by connecting the stages of “Discovery → Learning → Trading.”With our proprietary AI assistant, Longbridge AI, and a cloud-native infrastructure, we provide retail investors with institutional-grade insights and a seamless global trading network. At Longbridge, you won’t just be working for a brokerage; you’ll be building the future of financial infrastructure.
Key Responsibilities
Requirements
Longbridge is a new-generation, AI-driven online brokerage on a mission to make investing smarter, simpler, and more accessible for everyone. Headquartered in Singapore, we are redefining the investment journey by connecting the stages of “Discovery → Learning → Trading.”With our proprietary AI assistant, Longbridge AI, and a cloud-native infrastructure, we provide retail investors with institutional-grade insights and a seamless global trading network. At Longbridge, you won’t just be working for a brokerage; you’ll be building the future of financial infrastructure.
Key Responsibilities
- Identify and assess compliance risks associated with the company’s development initiatives, new product launches, and daily business operations.
- Stay updated on new or revised regulatory rules, SFC circulars, and legal requirements relevant to various business units, assisting with regular impact assessments.
- Review and approve marketing materials, client communications, and promotional campaigns to ensure strict alignment with regulatory standards.
- Monitor and track remedial actions arising from compliance monitoring activities and reviews, ensuring timely and effective resolution of identified issues.
- Assist in preparing and delivering in-house compliance training programs to enhance staff awareness of regulatory requirements and market best practices.
- Participate in cross-functional ad-hoc projects and regulatory inquiries/reporting as required.
Requirements
- Bachelor's degree or above in Law, Finance, Accounting, Risk Management, or related disciplines.
- Minimum 2 to 6 years of relevant compliance experience** within the financial services or banking sector (preferably in licensed corporations or online brokerages). Candidates from professional service firms (e.g., Big 4) with relevant experience are also welcome.
- Solid knowledge of SFC rules, codes, and guidelines pertaining to **Type 1, 2, 4, and 9 regulated activities**.
- Strong analytical, communication, and problem-solving skills with high integrity and attention to detail.
- Ability to work independently as well as collaboratively in a fast-paced environment.
- Proficiency in MS Office applications (Excel, PowerPoint, Word) and Chinese word processing.
- Excellent command of written and spoken English and Chinese (Cantonese and Mandarin).