Senior Compliance Leader: Capital Markets & Regulation

CLSA

Singapore

On-site

SGD 180,000 - 260,000

Full time

14 days+

Get a reply from this employer

Your resume and cover letter, tailored to exactly what they’re hiring for.

Get past ATS filters

Job summary

CITIC CLSA Singapore is seeking a senior Compliance professional to lead a broad mandate across multiple licensed entities and business lines. The role reports to the Head of Legal and Compliance, Singapore, and focuses on maintaining strong conduct, regulatory adherence, and effective compliance controls across a wide range of financial services activities.

The ideal candidate has at least 12 years of compliance experience in the financial industry, with strong analytical and

Qualifications

Bachelor’s degree or above.
Minimum 12 years of financial industry compliance experience.
MAS experience advantageous.
Strong understanding of securities, derivatives, ECM/M&A, fixed income, and asset management.
Excellent English and communication skills; able to work independently and in a team.

Responsibilities

Set policies and procedures for adherence to legal and regulatory requirements in CITIC CLSA SG Entities.
Provide advice to executive team, Board of Directors and management on compliance risks, regulatory developments.
Resolve compliance issues and conduct investigations into potential breaches of policies.
Respond to law enforcement or regulatory requests and communicate with regulators.
Assist in strategic design and implementation of the Compliance Program for the entities.