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Head of Compliance

Head of Compliance

Hudson RPOSingapore, Pedra Branca, Singapore
4 days ago
Job description

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Handling in-house legal and compliance recruitment for Asia

Type : Full-Time | Hybrid

The Company

A newly launched digital brokerage platform is seeking a seasoned compliance professional to spearhead regulatory efforts and licensing activity across Southeast Asia. The platform is part of a fast-growing regional fintech group headquartered in Singapore, which operates across various verticals including digital lending, identity verification, and buy-now-pay-later solutions.

This investment and trading venture will first launch in Singapore before expanding across key Southeast Asian markets. With operational autonomy and a consumer-centric mandate, this initiative benefits from being embedded within a well-resourced ecosystem while maintaining startup agility.

Reporting to both the platform’s CEO and the Group Compliance Head, 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 regional 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.
  • Regional Expansion : Oversee regulatory applications and ongoing compliance management in Malaysia and other Southeast Asian jurisdictions as part of the expansion roadmap.
  • Incident Management : Develop processes for breach reporting, issue remediation, and incident tracking in line with statutory and internal requirements.
  • Group Alignment : Operate in a matrix reporting environment, ensuring compliance priorities are aligned across business and group levels while maintaining independent oversight.

Requirements

  • Educational Background : A degree in Law, Business, Finance or equivalent is essential. 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. Familiarity with regulatory requirements in Malaysia or other regional markets is beneficial.
  • 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
  • Company information

    EA No. R24120805

    Registration No. 18C9146

    Privacy Statement

    Data collected will be used for recruitment purposes only. Personal data provided will be used strictly in accordance with the relevant data protection law and Hudson's personal information and privacy policy.

    Seniority level

    Seniority level

    Mid-Senior level

    Employment type

    Employment type

    Full-time

    Job function

    Job function

    Legal, Product Management, and Management

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    Head Of Compliance • Singapore, Pedra Branca, Singapore