Vice President, Compliance - Markets Compliance, Compliance Department, Asia Pacific Division - SMBC
Core
Provide day-to-day compliance advice to Global Markets and Treasury APAC stakeholders on regulatory requirements, internal policies, and permissible activities.
Role type
Senior leadership compliance officer (markets)
Builds
Compliance policies, procedures, and guidance for global markets and treasury activities
Domain
Financial services / Banking / Markets Compliance
Required skills
Regulatory knowledge (Singapore/MAS), Global markets products, Treasury activities, Stakeholder management, Analytical skills, Drafting, Problem-solving
Preferred skills
Experience in compliance, legal, regulatory advisory, risk management, audit, or front office control within a bank, regulator, or professional services firm
Technologies
N/A
Responsibilities
Provide day-to-day compliance advice to Global Markets and Treasury APAC stakeholders; Support reviews of new products, business initiatives, transaction structures, sales and marketing materials, and client communications; Review and maintain markets-related compliance policies, procedures, manuals, checklists, and guidance; Assist in monitoring, testing, and thematic reviews covering markets compliance risks; Work with stakeholders to identify, assess, escalate, and remediate compliance issues; Support governance forums, committee reporting, management updates, regulatory submissions, and compliance dashboards; Coordinate with Legal, Risk, Operations, Front Office, Head Office, regional compliance teams, and group securities entities; Track relevant regulatory developments and assess impact on markets activities; Assist in designing and delivering targeted compliance training and awareness sessions
Seniority
Vice President, Senior Leadership