Head of Compliance, Financial Markets Brokerage, Fintech, Singapore Head of Compliance, Financial Markets Brokerage,  …

Sloane Shorey Consulting
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 23 May 20
Excellent
Sloane Shorey Consulting
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 23 May 20
Excellent
Newly created role in an established global player with a developing presence in Asia. Hiring firm provides investment and trading solutions across a broad spectrum of products from traditional assets to cryptocurrencies. **Singapore-based role. Open to overseas candidates.**

 

Head of Compliance, Financial Markets Brokerage

Global Fintech, Singapore

Newly created role in an established global player with a developing presence in Asia. Hiring firm provides investment and trading solutions across a broad spectrum of products from traditional assets to cryptocurrencies.

The Head of Compliance will be responsible for developing and implementing the company’s compliance program in Asia, assessing and advising on regulations affecting the business and ensuring appropriate policies are in place to meet the requirements of relevant laws and regulations and face-off with regulators.

Reporting to senior management, you will develop and manage a team covering regulatory compliance and AML and provide compliance input and approval for new products and new markets.

Key responsibilities:

  • Lead the compliance function
  • Maintain and enhance compliance program
  • Provide compliance advice to business and management
  • Document compliance policies and procedures
  • Ensure appropriate trade surveillance monitoring in place
  • Compliance input for new business/product approval
  • Monitor regulatory developments, update compliance policies as required
  • Ensure compliance for all AML matters.
  • Devise and conduct relevant compliance training
  • Develop and maintain relationships with regulators
  • Assist with audit process

Experience:

  • 15+ years of professional experience
  • At least 10 years of compliance or regulatory experience
  • Early career in audit, legal, regulator or exchange useful
  • Experience in electronic trading/brokerage essential
  • Knowledge of derivatives and structured products
  • Understanding/interest in crypto assets useful
  • Ability to manage and mentor a small team

 

Position is open to professionals based in Australia, Hong Kong, UK, US, etc wishing to relocate to Singapore. Preference for existing or prior Asia experience.

For a confidential discussion on this role, please apply now.

 

Sloane | Shorey

Sloane Shorey Consulting is a specialist recruitment firm focusing on corporate governance hiring within banking and financial services. From our offices in Singapore, we recruit for compliance, controls and risk management positions across Asia Pacific. We are a Ministry of Manpower Licensed Employment Agency (EA License 17S8548).

Live vacancy listings: sloaneshorey.catsone.com/careers

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