Penguin Securities Group to appoint Chief Compliance Officer
Penguin Securities group announced the appointment of Shelly Harding as Chief Compliance Officer
We’re pleased to announce the appointment of our Chief Compliance Officer, Shelly Harding. Over her decade-long career, Shelly has worked with global banks, prime brokers, and asset management firms to manage license applications for Capital Market Services and Major Payment Institution, develop comprehensive compliance and enterprise risk management frameworks, optimize business processes, and ensure adherence to AML/CFT and regulatory standards. She was previously the Chief Compliance Officer and Money Laundering Reporting Officer (MLRO) at a Digital Asset and FX Prime Brokerage. Shelly holds certifications in Blockchain and Fintech from INSEAD and The Wharton School, as well as a Bachelor of Commerce in Banking and Finance from Murdoch University. She is also a Certified Anti-Money Laundering Specialist (CAMS) with multiple ICA certifications in governance, risk, and compliance.
About Shelly Harding
- Graduated from Murdoch University with double majors in Banking and Finance.
- With over 15 years of experience, Shelly possesses an in-depth understanding of digital assets and capital markets, with a particular focus on regulatory compliance and internal control implementation. Her expertise encompasses end-to-end compliance, and enterprise risk management framework, financial crime prevention including Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) and sanctions, in addition to managing license application in Singapore, Hong Kong and Middle East.
- During her career at EY and Deloitte, she had worked extensively with global banks, broker-dealers and hedge fund managers developing comprehensive compliance and risk management frameworks and ensuring strict adherence to licensing and regulatory requirements, as well as managing AML/CFT projects, investigation, internal audit, and regulatory remediation.
- In her previous role as Chief Compliance Officer and Money Laundering Reporting Officer at a Digital Asset and FX Prime Brokerage, Shelly managed the full spectrum of compliance operations, ensuring the firm’s compliance with Monetary Authority of Singapore (MAS) regulations and the implementation of EMEA, the US, and the UK regulatory standards.