30 Sep 2024

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.
Disclaimer

This website and its contents have not been reviewed by the Monetary Authority of Singapore. The information on this website pertains to Penguin Securities Pte. Ltd. only and does not pertain to Penguin Securities Holding Pte. Ltd. or any other related corporation of Penguin Securities Pte. Ltd., including but not limited to Penguin Securities Trading Pte. Ltd.

Penguin Securities Pte. Ltd. is currently regulated by the Monetary Authority of Singapore as a holder of a capital markets services licence under the Securities and Futures Act 2001 for undertaking the regulated activity of “dealing in capital markets products”. It is also applying to the Monetary Authority of Singapore to obtain a major payment institution licence under the Payment Services Act 2019 for providing “digital payment token services”. For this reason, Penguin Securities Pte. Ltd. currently only provides services in relation to its activity of “dealing in capital markets products” as regulated under the Securities and Futures Act 2001, but not for providing any “digital payment token services” under the Payment Services Act 2019.

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