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Recruit Ref: L050324103
Posting Date: 2021-09-08

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Head of Compliance


  • Responsible for the Compliance framework, develop and implement the Compliance programs, policies and practices for the firm and group companies
  • Promote compliance and risk management best practice throughout the company
  • Support the development of corporate governance and business conduct standards across the company and group companies
  • Oversee Compliance functions, ensure sufficient resources and training are in place to successfully discharge the objectives of the functions
  • Monitor and identify regulatory developments, including enforcement actions, new laws, regulations, rules and interpretations or guidance relating to the business of the firm
  • Identify potential compliance risk and actively advise management to implement proper compliance program to address any potential regulatory problems
  • Provide prompt reporting to senior management of all breaches or potential breaches of applicable regulatory requirements and any significant changes to applicable regulatory requirements in the relevant business jurisdictions
  • Handle licensing matters relating to the firm, group companies and employees.
  • Ensure compliance with regulatory obligations while taking a commercial and practical approach to risk based challenges and offer appropriate solutions.
  • Act as MIC of Compliance function
  • Perform all necessary Control Room duties, including assessing and managing potential conflicts of interest checks, clearance, restrictions and wall-crossing, providing guidance and explaining decisions to senior management team


  • 10+ years of relevant experience in Securities and Legal field
  • Knowledge/ experience of international capital markets and crypto or securities exchanges highly preferred
  • Strong communication and interpersonal skills

Banking / Finance / Securities / Investments 
Job Position Level:
Employment Term:
Min. Edu. Level Req:
Minimum QF Level attained:
Total Working Exp:
-- (Monthly)
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