Head of Compliance

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 resume via [Confidential Information] in strict confidence for consideration.

We also welcome referrals of suitable candidates within your professional network.

Ethel Tan

Consultant, Financial Services

RevUp Consulting

EA Licence No.: 22S1193

EA Registration No.: R2096281

LinkedIn: www.linkedin.com/in/etheltansk