Head of Legal and Compliance

About the role

We are seeking an experienced Head of Legal and Compliance to lead the legal, regulatory and compliance function for a leading financial institution in Singapore. This senior leadership position will oversee legal advisory, regulatory compliance, AML, governance and stakeholder management across the business.

Key responsibilities

• Provide legal and regulatory advice on capital markets and investment banking activities, including ECM/DCM transactions, underwriting and securities offerings.
• Lead the compliance, AML and transaction‑monitoring framework in line with MAS and SGX requirements.
• Act as the primary liaison with regulators on licensing matters, inspections and regulatory inquiries.
• Oversee information barriers, conflicts management, governance frameworks and internal controls.
• Review regulatory disclosures, legal documentation and transactional materials.
• Drive compliance reviews, policy enhancements, training initiatives and remediation programmes.
• Partner with senior management, business stakeholders and external counsel on legal and regulatory matters.

Required profile

• 15–20 years of relevant legal and compliance experience within financial institutions, investment banks or securities firms.
• Strong knowledge of MAS regulations, SFA, FAA, SGX rules and Singapore regulatory frameworks.
• Experience in securities, investment banking and fixed‑income environments is preferred.
• Proven track record managing regulatory engagements, audits and compliance programmes.
• Prior leadership experience managing legal and compliance teams.

Required skills