Compliance Lead/Manager

The Company

With a focus on innovation and accessibility, our client aims to transform the trading experience for retail investors in Southeast Asia. The business sits within a fintech unicorn which has other consumer and B2B fintech BU in the region. Headquartered in Singapore, the newly set up business will operationally start out in Singapore, and will look to expand to Malaysia and other SE Asia markets where the Group operates in. As part of their commitment to delivering a secure and trustworthy trading environment, a Compliance Manager opening has come about to lead the CMS license application, and to concurrently develop and implement regulatory compliance frameworks required for the trading platform.

This is a newly created role reporting directly to the Group’s C-level leadership, providing a unique opportunity to influence the regulatory foundation of the business from inception.

Responsibilities

• CMS License Application: Lead the end-to-end application process for the Capital Markets Services (CMS) license in Singapore and ensure timely approvals from the Monetary Authority of Singapore (MAS).
• Compliance Framework Development: Design, implement, and maintain robust compliance frameworks and policies in line with MAS regulations and other applicable laws.
• Regulatory Advisory: Provide expert guidance to the leadership team on regulatory developments and ensure the company remains compliant with evolving laws and industry standards.
• Risk Assessment: Conduct periodic risk assessments to identify and address compliance risks, implementing appropriate controls and monitoring mechanisms.
• Training & Awareness: Develop and deliver compliance training programs to enhance staff awareness and adherence to regulatory requirements.
• SE Asia Expansion: Oversee the application and compliance processes for regulatory approvals in Malaysia and beyond as the business expands.
• Stakeholder Management: Act as the primary liaison with regulatory bodies, external auditors, and other stakeholders on all compliance-related matters.
• Incident Reporting: Establish protocols for incident reporting and manage any breaches of compliance or regulatory requirements.

Requirements

• Education: Bachelor’s degree in Law, Business, Finance, or a related field. Relevant professional certifications (e.g., ICA, CAMS) are a plus.
• Experience: Minimum of 7 years’ experience in compliance roles within B2C brokerage or fund manager entities, with strong familiarity in CMS licensing processes.
• Regulatory Expertise: Deep understanding of MAS regulations and compliance requirements for retail trading platforms and brokerage businesses. Experience with SE Asian regulatory bodies is highly advantageous.
• Framework Development: Proven track record in designing and implementing compliance frameworks from the ground up.
• Leadership: Ability to work independently in a start-up environment while effectively engaging with senior leadership and cross-functional teams.
• Analytical Skills: Strong analytical, problem-solving, and risk management skills.
• Communication: Excellent stakeholder management skills with the ability to influence and build trust across different functions.
• Adaptability: Comfortable working in a dynamic, fast-paced environment with a focus on regional growth.

Application Process

To apply, please send your updated resume to Naomi Lewis (Reg No.: R1765748) at naomi.lewis@cornerstoneglobalpartners.com quoting the job title or quickly fill out the application form below. Only shortlisted candidates will be notified. Information provided in this advertisement is for recruitment purposes only.