Head of Compliance (Fintech/Brokerage)
Summary
Lead compliance strategy and regulatory oversight for a fast-growing fintech brokerage, ensuring adherence to MAS rules and managing AML/CFT controls.
Head of Compliance (Fintech/Brokerage)
Join a high-growth, technology-driven financial institution that is transforming the investment landscape across Asia. Backed by strong regional growth ambitions, our client offers an innovative platform, collaborative culture, and the opportunity to play a key leadership role in shaping its compliance framework as the business continues to expand.
What You'll Do
- Lead the Compliance function and provide strategic regulatory oversight across the business.
- Advise on MAS regulations covering securities, derivatives, funds, structured products, and digital brokerage.
- Oversee AML/CFT, sanctions, customer due diligence, transaction monitoring, and financial crime controls.
- Manage regulatory reporting, licensing, compliance monitoring, trade surveillance, and governance.
- Serve as the primary liaison with MAS, exchanges, auditors, and external stakeholders.
- Champion a strong compliance culture while supporting new business initiatives and regulatory change.
What We're Looking For
- Degree in Finance, Business, Law, or a related discipline.
- 10+ years' compliance experience within capital markets, brokerage, banking, or fintech.
- Strong knowledge of MAS regulations, SFA, FAA, AML/CFT, and SGX Rules.
- Experience managing regulatory inspections, audits, and licensing matters.
- ICA, CAMS, IBF, or other relevant professional certifications are advantageous.
Interested applicants may submit their updated resumevia ethel.tan@revup-consulting.com in strictconfidence for consideration.
We also welcome referrals of suitable candidates within yourprofessional network.
Ethel Tan
Consultant, Financial Services
RevUp Consulting
EA Licence No.: 22S1193
EA Registration No.: R2096281
LinkedIn: www.linkedin.com/in/etheltansk