Vice President, Compliance

Responsibilities

• Provide regulatory and firm compliance policy advice/ guidance to equity capital markets, as well as debt capital markets and syndicate teams, and management on issues related to underwriting and private placements, marketing and selling securities offerings, as well as information barriers and other internal controls and issues
• Collaborate with business units, control rooms, and legal teams to manage conflicts of interest and maintain the firm’s information barrier policy
• Guide business management on supervision structures and processes, ensuring compliance with guidelines, checklists, and operating procedures
• Manage compliance issues, including escalation and reporting, and oversee the monitoring and review of public disclosures like announcements and circulars.
• Communicate with external legal advisors, financial consultants, and regulators on compliance matters
• Update and enforce policies, procedures, and controls to comply with MAS, SGX-DT, and SGX-DC regulations
• Conduct compliance reviews and testing on business processes to ensure regulatory compliance, identify gaps, and work with business units on corrective actions
• Advise on business expansions, new products, customer transactions, and regulatory issues in Singapore
• Handle regulatory submissions, inquiries, audits, and maintain relationships with authorities
• Conduct due diligence for new and existing clients and promote a culture of compliance and risk management
• Take on ad-hoc projects as needed and collaborate effectively with regional compliance teams and stakeholders

Qualifications

• Degree in Law, Accounting, Business, Economics, Finance, or related fields
• 4-8 years of experience in legal, commercial, risk management, or compliance roles
• Knowledge of SGX rules, SFA, FAA, MAS regulations, and corporate governance
• Experience with audits or regulatory examinations. - Strong understanding of compliance and risk management practices
• Fluent in both English and Mandarin to liaise with Mandarin-speaking stakeholders
• Excellent organizational and project management skills
• Quick learner with an agile mindset, collaborative, and trustworthy team player with a positive work attitude.