Global Markets & Securities Compliance Oversight Lead

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

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