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

Company : Sumitomo Mitsui Banking Corporation

Job Type : Full Time

Singapore

Job Description - Vice President, Compliance - Markets Compliance, Compliance Department, Asia Pacific Division - SMBC

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

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

Job Description - Vice President, Compliance - Markets Compliance, Compliance Department, Asia Pacific Division - SMBC

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