AVP/VP Compliance

Hudson Talent Solutions; Singapore; On-site; SGD 120,000 - 240,000; Full time

Job summary

Hudson Talent Solutions seeks an AVP/VP to lead MAS compliance for a Singapore securities platform launch. The role is hands-on, interfacing with front office, technology and operations to ensure regulatory alignment and robust controls.

Based in the CBD, the role is five days a week, focusing on policy review, submissions, licensing queries and risk-based monitoring across AML/CFT, KYC and market conduct. MAS Fit and Proper applies; law/finance/accounting degree preferred.

Qualifications

• 8–12 years of compliance experience in a MAS-regulated financial institution.
• Background in regulatory compliance and advisory.
• Experience in securities, brokerage, capital markets, asset management or wealth management.
• MAS Fit and Proper criteria is required.
• Degree in law, finance or accounting; ICA/CAMS a bonus.

Responsibilities

• Review and update compliance policies, procedures and controls for institutional and retail businesses aligned with MAS requirements.
• Support the Head of Compliance on MAS matters, licensing queries, regulatory submissions and inspections.
• Provide day-to-day regulatory advice to front office, operations, technology and product teams on new products and platform features.
• Act as a compliance checkpoint during platform launch focusing on customer protection and conduct.
• Monitor AML/CFT, client due diligence, trade surveillance, market conduct and conflicts of interest; collaborate with KYC team.
• Design and run risk-based monitoring plans and product approval processes.
• Coordinate with external law firms on contract/document reviews.
• Prepare compliance reports for senior management and committees; flag issues early.
• Deliver compliance training and awareness across the business.
• Must meet MAS Fit and Proper criteria; five days a week office-based in CBD.

Skills

Regulatory compliance

KYC/AML knowledge

Policy drafting

Stakeholder communication

Risk-based monitoring

Project coordination

Education

Law/Finance/Accounting degree

ICA/CAMS or similar qualifications (bonus)

Job description

Our client is a securities entity headquartered in Asia, with institutional, investment banking and retail businesses in more than ten markets worldwide.

Its Singapore branch has a well-established securities business serving institutional investors, and it is now launching a digital retail investing platform locally. The technology, product and operations leads for the launch are already in place.

Until now, much of the compliance oversight for Singapore was handled at head office. The firm is now building a stronger local compliance function, with more growth planned once the retail platform goes live.

This AVP/VP role sits in the compliance team and reports to the Head of Compliance. It is a hands-on position with real exposure to a platform launch, and a chance to grow as the business scales.

Responsibilities

• Help review and update compliance policies, procedures and controls for both the institutional and retail businesses, in line with Singapore regulatory requirements
• Support the Head of Compliance on MAS matters, including licensing queries, regulatory submissions, inspections and thematic reviews
• Give day-to-day regulatory advice to front office, operations, technology and product teams on new products, platform features, outsourcing and partnerships
• Act as a compliance checkpoint as the retail platform is built and launched, with a focus on customer protection and conduct
• Carry out monitoring and oversight across AML/CFT, client due diligence, trade surveillance, market conduct, representative conduct and conflicts of interest, working closely with the KYC team
• Help design and run a risk-based monitoring plan and a product approval process
• Coordinate with external law firms on contract and documentation reviews
• Prepare compliance reports for senior management and committees, and flag issues early
• Run compliance training and awareness sessions across the business
• Around 8-12 years of compliance experience in a MAS-regulated financial institution. Title will be AVP or VP depending on experience.
• Background in regulatory compliance and advisory. A profile limited to KYC/AML operations will not be broad enough.
• Experience in securities, brokerage, capital markets, asset management or wealth management. Exposure to institutional and retail clients is a plus.
• Good working knowledge of the SFA, FAA, MAS notices and guidelines, SGX rules and AML/CFT requirements
• Practical experience drafting policies and putting controls in place
• Exposure to online trading, fintech or digital financial services is an advantage
• A clear communicator who is comfortable working with business teams and preparing material for senior stakeholders
• Proactive and adaptable, and enjoys working in a business that is still being built
• Degree in law, finance, accounting or a related field. ICA, CAMS or similar qualifications are a bonus.
• Must meet MAS Fit and Proper criteria
• Office-based in the CBD, five days a week