AVP, Securities and Global Markets Oversight (Compliance Department)

SMBC Group; Singapore; On-site; SGD 180,000 - 260,000; Full time

Job summary

SMBC Group is seeking an experienced Compliance professional to oversee securities-related activities and governance across banking and securities entities in Singapore. The role emphasizes alignment with ultimate parent company standards and cross-entity collaboration.

The ideal candidate will have strong regulatory knowledge of global markets, excellent stakeholder management, and a track record in complex cross-border regulatory programs within a bank or professional services setting.

Qualifications

• Provide oversight of securities and related compliance frameworks.
• Strong collaboration with Compliance and Financial Crime teams across entities.
• Monitor regulatory requirements and ensure AML standards are applied consistently.
• Advise on regulatory implications for new products and joint initiatives.
• Test compliance in dual-hatting or cross-entity models with governance checks.
• Coordinate with Head Office and regional stakeholders on regulatory matters.
• Support governance initiatives for cross-entity supervision and information sharing.

Responsibilities

• Provide oversight of securities-related activities and compliance frameworks from the parent company perspective.
• Collaborate with Compliance and Financial Crime teams to promote consistent AML standards.
• Support alignment of policies, procedures, and governance across Bank and Securities businesses.
• Advise on regulatory implications for new products and joint marketing with multiple entities.
• Monitor and test compliance with regulatory requirements for dual-hatting arrangements.
• Coordinate with Head Office and regional stakeholders on governance and compliance matters.
• Support governance initiatives and information sharing across entities.

Skills

Stakeholder management

Analytical skills

Drafting skills

Problem-solving

Communication skills

Teamwork

Education

Degree in Law, Finance, Accounting, Economics, Business

Job description

• 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.

Job Requirements

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.

Job Requirements

• 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 escape 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.

Preferred Experience

• 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.