Head of Compliance & MLRO - Digital Trading Platform
Longbridge is a leading next-generation online brokerage in Singapore and Hong Kong, dedicated to bridging technology and wealth through an intelligent investment experience. Driven by a "Securities + Technology" philosophy, we are a globally regulated institution authorized by the Monetary Authority of Singapore (MAS) and the Securities and Futures Commission (SFC) of Hong Kong. As we expand into the DIFC
, we are leveraging our cloud-native infrastructure and AI-driven insights to redefine capital market access in the region. We are now seeking a dedicated regulatory leader to anchor our Dubai operations with world-class compliance and integrity.
As the Head of Compliance and Money Laundering Reporting Officer (MLRO), you will hold a "Recognized Function" under the DFSA regime. You will be the primary custodian of the firm’s regulatory standing, ensuring our innovative trading services align with the DFSA Rulebook while fostering a culture of "Compliance by Design."
Key Responsibilities- Regulatory & Licensing: Lead the DFSA license application process and act as the primary liaison with the regulator and external consultants.
- Compliance Framework: Design and maintain the compliance manual and internal controls for securities dealing, brokerage, and margin trading.
- AML/CFT (MLRO): Serve as the designated MLRO; oversee KYC/CDD, transaction monitoring, and suspicious activity reporting.
- Regulatory Reporting: Manage all mandatory filings, including PIR, annual reports, and capital adequacy notifications.
- Governance & Risk: Establish corporate governance frameworks and work with the CEO to mitigate regulatory and market conduct risks.
- Market Conduct: Monitor day-to-day trading and settlement operations to ensure adherence to DFSA Market Rules.
- Fintech Innovation: Provide regulatory guidance on proprietary trading technology and AI tools, ensuring data protection and cybersecurity compliance.
- Training & Policy: Translate DFSA Rulebooks (GEN, AML, COB, MIR) into actionable internal policies and lead staff training.
- Experience: 10+ years in financial compliance, with 5+ years in a senior leadership role within brokerage or capital markets.
- Regulatory Track Record: Previous DFSA authorization as Compliance Officer/MLRO is highly preferred. Experience with MAS, SFC regulations or other Tier-1 regulatory framework is a significant advantage.
- Expertise: Deep knowledge of securities trading, derivatives, and digital trading platforms.
- Education: Degree in Law, Finance, or a related field. Relevant professional certifications are highly desirable.
- Mindset: A solution-oriented leader capable of balancing fast-paced fintech innovation with uncompromising ethical standards.
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