AVP, Securities and Global Markets Oversight (Compliance Department)
AVP, Securities and Global Markets Oversight (Compliance Department)
SMBC Group- Posted 14 hours ago
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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
Rates
Financial Advisers Act
Securities Financing
Compliance frameworks
Banking Act
MAS regulations
AML standards
Securities Futures Act
OTC and Exchange-Traded Derivatives
About Company
Skills:
Aml, system enhancement testing, Singapore regulatory requirements, standard operating procedure updates, CFT frameworks, Process Optimization, Wealth Management, client due diligence, client onboarding
Skills:
Ccsp, Cybersecurity, It Infrastructure, Applications, Cism, MAS TRM, BNM RMiT, Cisa, It Audit, OJK, Cissp, technology controls, technology risk regulations, CRISC
Skills:
business continuity management , PDPC guidelines, compliance monitoring programs, MAS regulations, Insurance Act, Operational Resilience, Third-Party Risk Management
Skills:
Python, Sql, Bloomberg, fixed income instruments, alternative products, Aladdin, risk and analytics platforms, portfolio construction methods
Skills:
Credit Risk Management, Trade Finance, Current Accounts, Term Loans, time deposits, working capital finance, Customer Relationship Management, Cash Management Services, foreign exchange