Director Investment Compliance

We are seeking an experienced Investment Compliance Director to support our global yield expansion initiatives and oversee investment regulatory compliance across multiple jurisdictions. This role will be pivotal in ensuring compliance with all investment-related regulatory requirements, supporting investment license applications globally, and acting as the UK Compliance Officer (CO) for the UK investment license.

This role focuses on providing global investment compliance oversight, ensuring adherence to regulations across multiple jurisdictions including the UK, Singapore, US, Australia, and Hong Kong, while also leading investment license applications and acting as the UK Compliance Officer. You will be responsible for developing compliance frameworks, monitoring regulatory developments, engaging with regulators, overseeing investment risk, collaborating with product teams to build compliant investment products, and providing internal compliance advisory and training.

Minimum Qualifications:

• 7+ years of compliance experience in the investment, asset management, or financial services sector.
• Strong understanding of global investment regulatory frameworks (e.g., FCA, MAS, SEC, ASIC, SFC, and NL investment license requirements).
• Experience managing investment license applications and engaging with regulators.
• Proven ability to navigate complex investment compliance matters, including fund management, structured products, and portfolio compliance.
• Familiarity with AML/KYC obligations related to investment businesses.
• Experience working in a fast-paced, international, and high-growth financial institution.
• Strong stakeholder management and communication skills, with the ability to advise senior leadership.

Preferred Qualifications:

• FCA-approved status (or ability to become FCA-approved) as a UK Compliance Officer
• Experience in a FinTech Scale Up a Plus