Head of Compliance - Singapore - 35273


Job #: 35273
Title: Head of Compliance
Job Location: , - Singapore
Employment Type:
Salary: contact recruiter for details
Other Compensation: Discretionary bonus
Employer Will Recruit From: Regional
Relocation Paid?: Yes


A public listed financial services provider engaging in commodities futures brokerage, financial futures brokerage, futures investment consulting, asset management business and fund sales, etc.



  • This position is appointed by the Board of directors and is accountable to the Board.
  • Lead the department of regulatory compliance, legal, general risk management and internal audit (or any department applicable).
  • Supervise the compliance and risk management of the company’s operation and management.
  • Supervise the establishment of risk management framework and policies, assess the company’s risk management procedures and review the efficiency and robustness of the entire mechanism.
  • Examine the compliance of the company’s policies, rules and new business lines, facilitate the forming of policies and procedures that adhere to relevant rules, laws, regulations and administration requirements.
  • Exercise the power of reporting significant issues to the Board.
  • Keep abreast to the changes of regulations and policies of administration, parent firm and the group, and facilitate the management of parent firm and the group.



  • Familiar with local securities and futures laws, exchange rules and regulatory policy.
  • At least 3 years of relevant financial broker?market maker or regulator experience which should include 2 years of risk, legal and compliance, or audit experience and managerial or supervisory experience.
  • Excellent verbal and written communication skills in both English and Mandarin Chinese.
  • Experience in managing various types of risks (i.e. credit risk, liquidity risk, operational risk) within a financial institution.
  • Sophisticate in dealing with legal, compliance and risk management issues of financial derivatives broker and market maker.
  • Master’s degree in law, finance, accounting or a related field is preferred.
  • Qualified to practice law in at least one jurisdiction is preferred.
  • CFA, FRM, ACCA and other professional qualifications preferred.

University - Master's Degree


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