David Harrington
Abu Dhabi, United Arab Emirates
Group Chief Compliance Officer at OSL | Senior Legal & Compliance Executive ♦ Fintech, Virtual Assets, Blockchain, Securities, Asset Management ♦ Hong Kong & Singapore
Summary
I am David Harrington, working as Group Chief Compliance Officer at OSL. I am based in Singapore, Singapore. I am passionate about my work and committed to delivering excellent results.
OSL
1mo
Group Chief Compliance Officer
1 Apr 2022 - Present
1mo
Singapore
Part of the BC Technology Group, OSL Digital Securities is the only SFC regulated virtual asset exchange, brokerage, and SaaS provider to institutional and professional investors. Leading the Global Compliance team to further develop an institutional grade Compliance function in the company’s Hong Kong, Singapore and Mexico offices. Manager in Charge - Compliance (SFC Manager in Charge Regime)
Director, Compliance
1 Jun 2021 - 30 Apr 2022
1mo
Singapore
Part of the BC Technology Group, OSL Digital Securities is the only SFC regulated virtual asset exchange, brokerage, and SaaS provider to institutional and professional investors. Reporting to the Group’s Chief Compliance Officer, I led a team of six to establish an institutional grade Compliance function in the company’s Hong Kong and Singapore offices. This included: ♦ Expanding the team, elevating its capabilities & ensuring role clarity to increase productivity ♦ Developed & implemented a robust compliance framework ♦ Established a clearly understood list of priorities by the Business and Compliance ♦ Improved the quality of compliance policies & procedures to eliminate ambiguity & expedite issue resolution
Independent Legal & Compliance Consultant
Various Clients – Singapore & Hong Kong
1 Jun 2012 - 30 Jun 2021
9yrs
Hong Kong SAR
Engaged for 3 – 12 month contracts to provide high level legal and compliance expertise to guide numerous companies through projects for regulatory or business driven reasons or to ensure that companies were able to meet their compliance obligations. This included: ♦ Managing the Compliance Function while permanent incumbents were being recruited & onboarded ♦ Improving internal procedures, process & practices ♦ Ensuring compliance following regulatory changes ♦ Formulating resolution & remediation plans in cases of regulatory breaches ♦ Negotiating with regulators ♦ Providing stability during turbulent times ♦ Leading the resolution of operational, legal & compliance issues
Regional Head of Legal & Compliance
Religare Capital Markets (Hong Kong) Limited
1 May 2008 - 30 Apr 2012
3yrs 11mos
Hong Kong
As one of the five founders of Aviate Global in June 2008 and selling the business to Religare in December 2010, I managed its Asian Legal & Compliance function. This included: ♦ Securing SFC HK Type 1, 4 & 6 licenses, Monetary Authority of Singapore Capital Markets Services License, Australian Securities and Investments Commission Class order relief & a Wholly Foreign Owned Enterprise (WFOE) License in China ♦ Engaging with India’s Securities & Exchange Board to enable a change in the company’s corporate structure following the sale of Aviate to Religare and for the application of the WFOE License in China ♦ Onboarding institutional clients in Hong Kong & Singapore ♦ Conducting internal investigations into potentially inappropriate trading activity ♦ Developing the compliance & operational procedures for the equities trading business ♦ Negotiating commercial agreements to establish institutional equities trading platforms in Hong Kong, Singapore & Melbourne ♦ Managing the HR, Company Secretarial, Corporate Governance, Finance & Regulatory Compliance functions.
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