Head of Compliance (Licensing/ FX brokerage)

Requirements

• Bachelor's degree in Law, Finance, Risk Management, or a related discipline.
• 3 to 10 years of hands-on experience in compliance within a trading platform, brokerage, or fintech environment.
• Strong familiarity with at least one major regulatory regime (e.g., ASIC, FCA, CySEC, MAS).
• Professional compliance certifications (such as ICA, CAMS) are highly preferred.
• Proven ability to balance regulatory adherence with business growth, possessing strong problem-solving and stakeholder management skills.

Additional Information

My client is a financial services company and looking for a Head of Compliance / Compliance Officer roles. Job Description Lead the global compliance framework and manage the full licensing lifecycle, acting as the primary liaison with international regulators. Establish and enhance risk-based AML/KYC policies, monitor suspicious transactions, and perform MLRO functions to ensure regulatory adherence. Review trading instruments and marketing materials to mitigate risks associated with copy trading, automated strategies, and misleading claims. Monitor for abnormal trading behaviors such as arbitrage or latency abuse in collaboration with the Risk and Trading teams. Develop internal SOPs, support external audits, and ensure global compliance with data protection regulations such as GDPR and PDPA.

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Company Intel

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