Vice President, Compliance - Markets Compliance, Compliance Department, Asia Pacific Division
Vice President, Compliance - Markets Compliance, Compliance Department, Asia Pacific Division
SMBC GroupFresher
- Posted 13 days ago
- Be among the first 10 applicants
Job Description
Job Responsibilities
Markets Compliance: Compliance Partner to Global Markets and Treasury APAC
Markets Compliance: Compliance Partner to Global Markets and Treasury APAC
- Provide day-to-day compliance advice to Global Markets and Treasury (GMTAP) stakeholders on regulatory requirements, internal policies, market conduct expectations, and permissible activities.
- Support reviews of new products, business initiatives, transaction structures, sales and marketing materials, and client communications from a compliance perspective.
- Advise on requirements relating to regulated activities, financial advisory activities, investor classification, suitability, fair dealing, cross-border marketing, and client-facing conduct.
- Review and maintain markets-related compliance policies, procedures, manuals, checklists, and guidance to reflect regulatory developments and internal policy changes.
- Assist in monitoring, testing, and thematic reviews covering markets compliance risks, including sales practices, e-communications, conflicts of interest, personal account dealing, information barriers, pre-hedging, research distribution, and handling of price-sensitive information.
- Work with stakeholders to identify, assess, escalate, and remediate compliance issues, control gaps, incidents, breaches, and audit or regulatory findings.
- Support governance forums, committee reporting, management updates, regulatory submissions, and compliance dashboards relating to markets compliance matters.
- Coordinate with Legal, Risk, Operations, Front Office, Head Office, regional compliance teams, and group securities entities on matters involving global markets, securities-related activities, dual-hatting, collaborative business arrangements, or group-wide policy alignment.
- Track relevant regulatory developments, industry guidance, and internal policy changes, and assess the impact on markets activities, controls, procedures, and training needs.
- Assist in designing and delivering targeted compliance training and awareness sessions for front office and support functions involved in markets activities.
- University degree or higher.
- Relevant experience in compliance, legal, regulatory advisory, risk management, audit, or front office control within a bank, regulator, or professional services firm is essential.
- Sound knowledge and experience in compliance regulations (in particular, Singapore regulatory requirements) applicable to markets and financial services activities, securities and capital and global markets products, including the Securities & Futures Act, Financial Advisers Act, Banking Act, MAS notices and guidelines, and relevant industry standards.
- Strong working knowledge with global markets products and treasury activities.
- Experience advising front office stakeholders and translating regulatory requirements into practical business guidance and controls.
- Strong analytical, drafting, problem-solving, and stakeholder management skills – having good communications skills, with ability to navigate multiple organizations and find common ground.
- Ability to manage multiple priorities, exercise sound judgment, escalate issues appropriately, and work effectively under time pressure.
- Collaborative, and team oriented
- High level of integrity, attention to detail, ownership, and accountability
More Info
Key Skills
Singapore regulatory requirements
regulatory advisory
Financial Advisers Act
front office control
treasury activities
compliance regulations
Banking Act
MAS notices and guidelines
global markets products
Securities Futures Act
About Company
Skills:
Internal Controls, risk management, AML requirements, Cash Management, gaming regulations, Regulatory Compliance
Skills:
Excel, AML programs, Risk and Regulatory exam management, Powerpoint, Management Reporting, AML KYC
Skills:
Data Management, Software Development, Data Lineage, Data Governance, risk management, regulatory engagement, Compliance, automated controls, model risk, AI governance, governance tooling
Skills:
risk management, Legal Documentation, Due Diligence, Collaboration, financial analysis, sustainable finance
Skills:
Risk and Control Self Assessment (RCSA), Quality assurance, Risk and control metrics and reporting, Automation of control processes, Process improvement, Quality control routines, Operational Risk Event analysis and reporting, issues management, Financial services regulatory and supervisory frameworks