Vice President, Compliance - Markets Compliance, Compliance Department, Asia Pacific Division

Job Responsibilities

Markets Compliance: Compliance Partner to Global Markets and Treasury APAC

• Provide day-to-day compliance advice to Global Markets and Treasury (GMTAP) stakeholders on regulatory requirements, internal policies, market conduct expectations, and permissible activities.
• Support reviews of new products, business initiatives, transaction structures, sales and marketing materials, and client communications from a compliance perspective.
• Advise on requirements relating to regulated activities, financial advisory activities, investor classification, suitability, fair dealing, cross-border marketing, and client-facing conduct.
• Review and maintain markets-related compliance policies, procedures, manuals, checklists, and guidance to reflect regulatory developments and internal policy changes.
• Assist in monitoring, testing, and thematic reviews covering markets compliance risks, including sales practices, e-communications, conflicts of interest, personal account dealing, information barriers, pre-hedging, research distribution, and handling of price-sensitive information.
• Work with stakeholders to identify, assess, escalate, and remediate compliance issues, control gaps, incidents, breaches, and audit or regulatory findings.
• Support governance forums, committee reporting, management updates, regulatory submissions, and compliance dashboards relating to markets compliance matters.
• Coordinate with Legal, Risk, Operations, Front Office, Head Office, regional compliance teams, and group securities entities on matters involving global markets, securities-related activities, dual-hatting, collaborative business arrangements, or group-wide policy alignment.
• Track relevant regulatory developments, industry guidance, and internal policy changes, and assess the impact on markets activities, controls, procedures, and training needs.
• Assist in designing and delivering targeted compliance training and awareness sessions for front office and support functions involved in markets activities.

Job Requirements

• University degree or higher.
• Relevant experience in compliance, legal, regulatory advisory, risk management, audit, or front office control within a bank, regulator, or professional services firm is essential.
• Sound knowledge and experience in compliance regulations (in particular, Singapore regulatory requirements) applicable to markets and financial services activities, securities and capital and global markets products, including the Securities & Futures Act, Financial Advisers Act, Banking Act, MAS notices and guidelines, and relevant industry standards.
• Strong working knowledge with global markets products and treasury activities.
• Experience advising front office stakeholders and translating regulatory requirements into practical business guidance and controls.
• Strong analytical, drafting, problem-solving, and stakeholder management skills – having good communications skills, with ability to navigate multiple organizations and find common ground.
• Ability to manage multiple priorities, exercise sound judgment, escalate issues appropriately, and work effectively under time pressure.
• Collaborative, and team oriented
• High level of integrity, attention to detail, ownership, and accountability