AVP, Securities and Global Markets Oversight (Compliance Department)
AVP, Securities and Global Markets Oversight (Compliance Department)
SMBC Group- Posted 14 days ago
- Be among the first 10 applicants
Job Description
Job Requirements
Securities & Global Markets Oversight
Securities & Global Markets Oversight
- Provide oversight of securities-related activities and compliance frameworks from the perspective of the ultimate parent company.
- Work closely with Compliance and Financial Crime Compliance teams across banking and securities entities to promote consistent application of compliance and AML standards.
- Support the integration and alignment of policies, procedures and governance frameworks across Bank and Securities businesses.
- Advise on regulatory implications of new products, services, strategic initiatives, and joint marketing activities involving multiple entities.
- Monitor and test compliance with regulatory and internal requirements applicable to employees operating under dual-hatting arrangements or collaborative business models.
- Coordinate with relevant Head Office, regional and local stakeholders on regulatory, governance and compliance matters affecting securities and global markets businesses.
- Support governance initiatives relating to cross-entity supervision, information sharing, market conduct controls, and compliance operating model enhancements.
- Degree in Law, Finance, Accounting, Economics, Business or a related discipline.
- Minimum 6 years of relevant experience in Compliance, Legal, Regulatory Advisory, Risk Management, Audit, Regulatory Reporting or Front Office Control functions within a bank, securities firm, regulator, or professional services organization.
- Strong knowledge of regulatory requirements applicable to global markets, treasury, and securities activities, particularly in Singapore and other major APAC jurisdictions.
- Good understanding of the Securities & Futures Act, Financial Advisers Act, Banking Act, MAS regulations, notices, and industry standards.
- Strong familiarity with global markets products, including:
- Foreign Exchange
- Rates
- Fixed Income
- Securities Financing
- OTC and Exchange-Traded Derivatives
- Structured Products
- Experience managing regional projects, regulatory change initiatives or cross-border governance programs would be advantageous.
- Excellent stakeholder management and communication skills, with the ability to influence across multiple functions and jurisdictions.
- Strong analytical, drafting, and problem-solving capabilities.
- Ability to manage competing priorities, exercise sound judgment and escalate issues appropriately.
- High level of integrity, ownership, accountability, and attention to detail.
- Collaborative, team-oriented mindset with the ability to operate effectively in a matrix environment.
- Experience covering both Banking and Securities businesses.
- Experience interacting with regulators, leading regulatory remediation programmes, or overseeing regulatory reporting control enhancements.
- Experience operating within a regional or global compliance function.
More Info
Key Skills
MAS regulations
AML standards
Securities Futures Act
OTC and Exchange-Traded Derivatives
Rates
Securities Financing
Banking Act
Financial Advisers Act
About Company
Skills:
referral network , Self Motivation, pitching, Consultative Selling, Product Advisory, Bancassurance, Cross Selling, Adaptability, high net worth individuals, structured products, Prospecting Cold Calls, Strategic Thinking, Relationship Management, Demonstrate resilience, wealth accumulation, Investment Advisory, Active Listening, Sales Presentations, Market Trend Analysis, Analytical Thinking
Skills:
Asset Management, Private Banking, Equities, Wealth Management, Hedging, Trade Verification, structured products, Derivatives, Risk and Regulatory, Fixed Income, Trade Analysis
Skills:
CACS Paper 1 & 2, Financial markets dealing, structured products, alternative investments, Fixed Income, Equities, OTC derivatives, Fx, Private Equity, Trade Execution, Pricing, Pre-trade checks, Funds, Portfolio advisory
Skills:
MAS regulations, Act, compliance monitoring programs, PDPC guidelines, implementing internal controls, Regulatory Compliance, drafting compliance policies
Skills:
Python, Sql, Bloomberg, fixed income instruments, alternative products, Aladdin, risk and analytics platforms, portfolio construction methods