Strategic Compliance Leader – Capital Markets

CLSA Limited; Singapore; On-site; SGD 180,000 - 320,000; Full time

Job summary

CITIC CLSA Singapore is seeking a senior compliance professional to lead the compliance program across multiple licensed entities and business lines. The role reports to the Head of Legal and Compliance in Singapore and concentrates on maintaining high standards of conduct, regulatory adherence, and effective control systems.

The candidate will oversee policy design, regulatory interactions, investigations, and training, while managing performance and remediation input.

Qualifications

• Bachelor’s degree or above in law, finance, or related field.
• Minimum 12 years of financial industry compliance experience.
• Strong knowledge of securities, derivatives, asset management and MAS regulatory environment.

Responsibilities

• Set policies and procedures for adherence to legal and regulatory requirements for CITIC CLSA SG entities.
• Maintain standards of conduct and monitor compliance with group policies and procedures.
• Lead compliance risk management and advise senior management and the Board on compliance issues.

Skills

Regulatory risk assessment

Stakeholder management

Regulatory reporting

English proficiency

Education

Bachelor’s degree or above

Job description

CITIC CLSA Singapore is seeking a senior compliance professional to lead the compliance program across multiple licensed entities and business lines. The role reports to the Head of Legal and Compliance in Singapore and concentrates on maintaining high standards of conduct, regulatory adherence, and effective control systems.

The candidate will oversee policy design, regulatory interactions, investigations, and training, while managing performance and remediation input.