Compliance VP (Singapore)

Our client is a reputable organization committed to maintaining high standards of regulatory compliance within the financial industry. The company fosters a professional and collaborative work environment, emphasizing integrity, continuous learning, and team development. This role involves providing expert guidance on regulatory and internal compliance policies, supporting the company’s efforts to meet Singapore’s regulatory requirements and manage risk effectively. Candidates will play a key role in liaising with regulators, overseeing compliance controls, and ensuring adherence to industry standards and internal procedures.

Role Overview:

The Compliance VP will be responsible for advising on regulatory policies, managing compliance with financial regulations, overseeing internal controls, and ensuring the organization’s compliance framework aligns with industry standards. The role supports the wider team by overseeing compliance reviews, managing regulatory communications, and fostering a culture of compliance and risk awareness.

Key Skills & Experience:

• Minimum 6 years of experience in Singapore compliance within reputable financial institutions or regulators
• Knowledge of relevant laws, rules, and regulations such as SGX-ST, SGX-DT, SGX-DC, SFA, FAA, MAS Regulations, Companies Act, and Corporate Governance codes
• Experience dealing with audits and regulatory examinations
• Strong understanding of compliance and risk management practices
• Ability to review legal documents is preferred
• Experience managing a small legal and compliance team is a plus
• Good organizational and project management skills
• Fast learner with an agile mindset, collaborative, and trustworthy team player
• Mandarin-speaking candidates are preferred

Key Responsibilities:

• Provide regulatory and firm compliance policy advice to equity capital markets, debt capital markets, syndicate teams, and management
• Advise on issues related to underwriting, private placements, and securities offerings
• Offer AML guidance and build transaction monitoring systems for the organization
• Liaise with regulators regarding license applications, inquiries, and inspections
• Oversee and coordinate information barrier policies and conflicts of interest management with business, control room, and legal teams
• Ensure adherence to supervision structures, procedures, and controls outlined in operational manuals
• Monitor and review disclosures, announcements, circulars, and offer documents
• Liaise with external legal advisors, financial consultants, and regulators on compliance matters
• Update and implement policies, procedures, and controls to meet regulatory standards
• Conduct compliance assurance reviews, testing, and gap analyses on business units’ controls
• Provide compliance training to management and staff as required
• Manage compliance issue escalation, reporting, and remediation activities

Candidates with the required skills and experience are encouraged to apply to join a forward-thinking organization that values regulatory excellence and professional growth.