AVP, Securities and Global Markets Oversight (Compliance Department) - SMBC

SMBC Group; Singapore; On-site; SGD 120,000 - 170,000; Full time

Job summary

SMBC Group is seeking a Compliance & Regulatory Advisor for Securities & Global Markets Oversight in Singapore. The role provides oversight of securities-related activities and ensures alignment with regulatory standards across the group, including APAC jurisdictions.

You will collaborate with Compliance and Financial Crime teams to promote consistent AML standards, advise on regulatory implications of new products and initiatives, and support governance enhancements through cross-entity

Qualifications

• 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 within a bank or securities firm.
• Strong knowledge of regulatory requirements applicable to global markets, treasury, and securities, especially in APAC.
• Familiarity with Securities & Futures Act, Financial Advisers Act, Banking Act, MAS regulations and industry standards.

Responsibilities

• Provide oversight of securities-related activities and compliance frameworks from the perspective of the ultimate parent company.
• Work with Compliance and Financial Crime teams to promote consistent application of AML standards across entities.
• Support integration and alignment of policies, procedures and governance frameworks across Bank and Securities businesses.
• Advise on regulatory implications of new products, services, and joint marketing activities.
• Monitor and test compliance with regulatory and internal requirements for dual-hatted or cross-entity arrangements.
• Coordinate with Head Office, regional and local stakeholders on governance matters affecting securities and global markets.

Skills

Stakeholder management

Analytical thinking

Drafting & reporting

Problem solving

Communication

Regulatory interpretation

Education

Law / Finance / Accounting / Economics / Business (degree)

Job description

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 elevate 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.