AVP, Securities and Global Markets Oversight (Compliance Department)

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 escalate 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.