Compliance Director - Global Markets
Our client is looking to appoint a director to join its Singapore team. This is an advisory and oversight role covering multiple regulated businesses and products across the capital markets landscape.
This position offers extensive exposure to a diverse range of business lines, providing the opportunity to partner closely with senior management, business stakeholders, and regulators on both strategic and day-to-day compliance matters.
Key Responsibilities
- Provide practical compliance advice to senior management and business stakeholders on regulatory matters, new initiatives, and emerging risks.
- Develop, enhance, and maintain compliance policies, procedures, and control frameworks in line with applicable regulatory requirements.
- Monitor regulatory developments and assess their impact on the business.
- Conduct compliance reviews, monitoring activities, and investigations into potential regulatory or policy breaches.
- Assist with the implementation and ongoing enhancement of the firm's compliance programme.
- Support regulatory submissions, licensing requirements, and interactions with external regulators and authorities.
- Evaluate compliance implications of new products, services, and business initiatives.
- Deliver compliance training and guidance to employees across front-office and support functions.
- Partner with regional and global teams to ensure consistent application of compliance standards and best practices.
- Prepare and present compliance-related updates, reporting, and recommendations to senior management and governance committees.
- Drive remediation efforts and oversee the resolution of compliance incidents, findings, and regulatory matters.
- Lead or contribute to strategic compliance projects and regulatory change initiatives.
Requirements
- Bachelor's degree
- At least 12+ years of compliance experience within banking, capital markets, securities, asset management, or related financial services environments.
- Strong knowledge across one or more areas such as equities, derivatives, fixed income, corporate finance, asset management, or wealth management.
- Experience engaging with regulatory authorities and managing regulatory risk in a complex environment.
- Strong analytical and problem-solving capabilities with the ability to exercise sound judgement.
- Excellent stakeholder management and communication skills.
- Ability to work independently while managing multiple priorities in a fast-paced environment.
EA R1981013
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