Head of Compliance

BEATHCHAPMAN (PTE. LTD.); Singapore; On-site; SGD 250,000 - 420,000; Full time

Job summary

BEATHCHAPMAN (PTE. LTD.), a MAS-regulated financial institution, seeks a Head of Compliance to lead and oversee its compliance function and act as principal adviser to Senior Management, committees, and the Board on regulatory obligations and strategic initiatives.

The role entails developing the company’s compliance framework, policies, and controls; ensuring MAS/SGX compliance; overseeing KYC/CDD, AML/CFT, and regulatory reporting; and driving regulatory engagements and training across the

Qualifications

• At least 10 years of compliance experience in financial services.
• At least 5 years in a senior leadership role.
• Strong knowledge of MAS regulations and related acts.
• Experience with both institutional and retail businesses is advantageous.
• Professional qualifications (ICA, ACAMS, CFA) are a plus.

Responsibilities

• Lead and oversee the company's compliance function.
• Act as principal adviser to Senior Management, committees and the Board.
• Develop and maintain the compliance framework, policies and controls.
• Ensure ongoing MAS/SGX compliance and regulatory reporting.
• Lead regulatory engagements, inspections, submissions, and training.

Skills

Regulatory compliance

Leadership

Stakeholder mgmt

MAS regulations

Regulatory reporting

Education

ICA/ACAMS/CFA

Job description

A MAS-regulated financial institution with institutional/capital markets and retail brokerage businesses is looking for an experienced Head of Compliance to lead and oversee its compliance function. This is a senior leadership role serving as the principal compliance adviser to Senior Management, relevant committees, and the Board on regulatory obligations, compliance risks, and strategic initiatives.

In this role, you will develop, maintain, and enhance the Company's compliance framework, policies, and controls, and lead, manage, and develop the Compliance team. You will ensure ongoing compliance with MAS, SGX, and other regulatory requirements, including the Securities and Futures Act, Financial Advisers Act, and AML/CFT requirements, and oversee key compliance areas such as KYC/CDD, transaction and trade surveillance, market conduct, and regulatory reporting, including independent review and oversight of the retail trading platform. You will lead regulatory engagements, inspections, and submissions involving MAS, SGX, and other authorities, prepare compliance reporting for Senior Management and the Board, and drive compliance training and awareness across the organisation.

The ideal candidate will possess at least 10 years of relevant compliance experience within the financial services industry, including at least 5 years in a senior compliance leadership role, preferably within a MAS-regulated securities brokerage, capital markets, or investment services business, with experience supporting both institutional and retail investor businesses highly advantageous. Candidates should have sound knowledge of MAS regulations, the Securities and Futures Act, Financial Advisers Act, AML/CFT requirements, and SGX rules, strong commercial acumen, leadership, and stakeholder management skills, and must satisfy the MAS Fit and Proper criteria. Relevant professional qualifications (e.g. ICA, ACAMS, CFA) would be an advantage.

WP Reg No. R2094093 BeathChapman Pte Ltd Licence no. 16S8112