Sumitomo Mitsui Banking Corporation
3 weeks ago
Assistant VP (Compliance) - Sumitomo Mitsui Banking Corporation
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Company information
- Company
- Sumitomo Mitsui Banking Corporation
- Location
- Singapore Singapore
- Posted
- 3 weeks ago
Job description
Job Requirements
Securities & Global Markets Oversight
- Provide oversight of securities-related activities and compliance frameworks from the perspective of the ultimate parent company.
- Work closely with Compliance and Financial Crime Compliance teams across banking and securities entities to promote consistent application of compliance and AML standards.
- Support the integration and alignment of policies, procedures and governance frameworks across Bank and Securities businesses.
- Advise on regulatory implications of new products, services, strategic initiatives, and joint marketing activities involving multiple entities.
- Monitor and test compliance with regulatory and internal requirements applicable to employees operating under dual-hatting arrangements or collaborative business models.
- Coordinate with relevant Head Office, regional and local stakeholders on regulatory, governance and compliance matters affecting securities and global markets businesses.
- Support governance initiatives relating to cross-entity supervision, information sharing, market conduct controls, and compliance operating model enhancements.
- Degree in Law, Finance, Accounting, Economics, Business or a related discipline.
- Minimum 6 years of relevant experience in Compliance, Legal, Regulatory Advisory, Risk Management, Audit, Regulatory Reporting or Front Office Control functions within a bank, securities firm, regulator, or professional services organization.
- Strong knowledge of regulatory requirements applicable to global markets, treasury, and securities activities, particularly in Singapore and other major APAC jurisdictions.
- Good understanding of the Securities & Futures Act, Financial Advisers Act, Banking Act, MAS regulations, notices, and industry standards.
- Strong familiarity with global markets products, including:
- Foreign Exchange
- Rates
- Fixed Income
- Securities Financing
- OTC and Exchange-Traded Derivatives
- Structured Products
- Experience covering both Banking and Securities businesses.
- Experience interacting with regulators, leading regulatory remediation programmes, or overseeing regulatory reporting control enhancements.
- Experience operating within a regional or global compliance function.
Required skills
- attention to detail
- audit
- compliance
- communication skills
- analytical skills
- accounting
- finance
- bank
- law
- risk management
- business
- economics
- treasury
- stakeholder management
- integrity
- industry standards
- team-oriented
- regulatory requirements
- procedures
- apac
- accountability
- securities
- drafting skills
- fixed income
- policies
- singapore
- rates
- head office
- ownership
- professional services
- regulatory reporting
- judgment
- notices
- regulator
- internal requirements
- strategic initiatives
- global markets
- matrix environment
- problem-solving capabilities
- new products
- governance frameworks
- mas regulations
- foreign exchange
- otc derivatives
- structured products
- financial crime compliance
- securities business
- local stakeholders
- regional projects
- competing priorities
- financial advisers act
- banking act
- information sharing
- banking business
- regulatory advisory
- securities financing
- regional stakeholders
- joint marketing
- securities firm
- exchange-traded derivatives
- parent company oversight
- aml standards
- regulatory implications
- dual-hatting
- collaborative business models
- cross-entity supervision
- market conduct controls
- compliance operating model
- front office control
- global markets regulations
- securities activities
- securities & futures act
- regulatory change initiatives
- cross-border governance programs
- regulators interaction
- regulatory remediation programmes
- global compliance function
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