Head of Compliance (CMS)

• New Headcount
• FinTech Unicorn

About Our Client

Our client is a newly established retail investing and trading platform backed by one of Southeast Asia's leading fintech unicorns. With a strong focus on innovation and accessibility, the business is headquartered in Singapore and aims to transform the way individual investors access capital markets across the region.

Job Description

• Lead the end-to-end CMS license application process with the regulator.
• Build and implement robust compliance, risk management, and internal control frameworks aligned with regulations and broader regulatory expectations.
• Act as the key regulatory liaison, managing engagements with the regulator, external auditors, and other stakeholders.
• Drive the design of risk policies and frameworks, including risk identification, monitoring, and reporting protocols.
• Support future license applications and regulatory engagement in Southeast Asian markets as the business grows.

The Successful Applicant

• At least 8 years of experience in compliance within a retail brokerage or capital markets environment.
• Proven track record of managing or leading CMS license applications.
• Strong understanding of regulations and compliance obligations for retail trading platforms.
• Experience working in early-stage or greenfield environments with the ability to build frameworks and processes from scratch.

What's on Offer

A unique opportunity to shape and lead the compliance function of a new retail investing platform from Day One. You'll play a key role in licensing, regulatory engagement, and regional expansion - backed by the strength and scale of a fintech unicorn.

Contact

Devan Nanthacumar (Lic No:R1871442 / EA no:18S9099)

Quote job ref

JN-062025-6774830

Phone number

+65 6416 9879

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