Compliance Director - Global Markets

Larson Maddox; Singapore; On-site; SGD 180,000 - 280,000; Full time

Job summary

Larson Maddox is assisting in sourcing a Director of Compliance for a major financial services client in Singapore. The role covers multiple regulated businesses and products across the capital markets landscape, offering exposure to senior management, stakeholders, and regulators on strategic and day-to-day compliance matters.

The position emphasizes advisory duties, governance interactions, and leadership in implementing comprehensive compliance programmes to mitigate regulatory risk across

Responsibilities

• Provide practical compliance advice to senior management and business stakeholders on regulatory matters, new initiatives, and emerging risks.
• Develop, enhance, and maintain compliance policies, procedures, and control frameworks in line with applicable regulatory requirements.
• Monitor regulatory developments and assess their impact on the business.
• Conduct compliance reviews, monitoring activities, and investigations into potential regulatory or policy breaches.
• Assist with the implementation and ongoing enhancement of the firm's compliance programme.
• Support regulatory submissions, licensing requirements, and interactions with external regulators and authorities.
• Evaluate compliance implications of new products, services, and business initiatives.
• Deliver compliance training and guidance to employees across front-office and support functions.
• Partner with regional and global teams to ensure consistent application of compliance standards and best practices.
• Prepare and present compliance-related updates, reporting, and recommendations to senior management and governance committees.
• Drive remediation efforts and oversee the resolution of compliance incidents, findings, and regulatory matters.
• Lead or contribute to strategic compliance projects and regulatory change initiatives.

Job description

Our client is looking to appoint a director to join its Singapore team. This is an advisory and oversight role covering multiple regulated businesses and products across the capital markets landscape.

This position offers extensive exposure to a diverse range of business lines, providing the opportunity to partner closely with senior management, business stakeholders, and regulators on both strategic and day-to-day compliance matters.

Key Responsibilities

• Provide practical compliance advice to senior management and business stakeholders on regulatory matters, new initiatives, and emerging risks.
• Develop, enhance, and maintain compliance policies, procedures, and control frameworks in line with applicable regulatory requirements.
• Monitor regulatory developments and assess their impact on the business.
• Conduct compliance reviews, monitoring activities, and investigations into potential regulatory or policy breaches.
• Assist with the implementation and ongoing enhancement of the firm's compliance programme.
• Support regulatory submissions, licensing requirements, and interactions with external regulators and authorities.
• Evaluate compliance implications of new products, services, and business initiatives.
• Deliver compliance training and guidance to employees across front-office and support functions.
• Partner with regional and global teams to ensure consistent application of compliance standards and best practices.
• Prepare and present compliance-related updates, reporting, and recommendations to senior management and governance committees.
• Drive remediation efforts and oversee the resolution of compliance incidents, findings, and regulatory matters.
• Lead or contribute to strategic compliance projects and regulatory change initiatives.

Requirements

• At least 12+ years of compliance experience within banking, capital markets, securities, asset management, or related financial services environments.
• Strong knowledge across one or more areas such as equities, derivatives, fixed income, corporate finance, asset management, or wealth management.
• Experience engaging with regulatory authorities and managing regulatory risk in a complex environment.
• Strong analytical and problem-solving capabilities with the ability to exercise sound judgement.
• Excellent stakeholder management and communication skills.
• Ability to work independently while managing multiple priorities in a fast-paced environment.