Hi everyone,

it has been enlightening reading up on how the fresh grads can get into compliance/AML functions. However, I would like to go further and ask for some advice for myself.


I am going to be 40 come 2019 and I have spent the last 10 years (since 2008) in trading and other functions with brokerages. A couple of years ago, I started my own firm and was licensed with MAS as a broker(SFA). During that time, I focused on the compliance aspect of the company (regulators/licencing/KYC/AML) while the other partners did the front office work. However, it didn't work out and I am now looking to join the corporate world.

What I would like to know is if I could join a FI in compliance at a middle level rather than a fresh hire.

Hope to hear your inputs.

Thank you.