Compliance Director - Global Markets

Our client is looking to appoint a director to join its Singapore team. This is an advisory and oversight role covering multiple regulated businesses and products across the capital markets landscape.

This position offers extensive exposure to a diverse range of business lines, providing the opportunity to partner closely with senior management, business stakeholders, and regulators on both strategic and day-to-day compliance matters.

Key Responsibilities

• Provide practical compliance advice to senior management and business stakeholders on regulatory matters, new initiatives, and emerging risks.
• Develop, enhance, and maintain compliance policies, procedures, and control frameworks in line with applicable regulatory requirements.
• Monitor regulatory developments and assess their impact on the business.
• Conduct compliance reviews, monitoring activities, and investigations into potential regulatory or policy breaches.
• Assist with the implementation and ongoing enhancement of the firm's compliance programme.
• Support regulatory submissions, licensing requirements, and interactions with external regulators and authorities.
• Evaluate compliance implications of new products, services, and business initiatives.
• Deliver compliance training and guidance to employees across front-office and support functions.
• Partner with regional and global teams to ensure consistent application of compliance standards and best practices.
• Prepare and present compliance-related updates, reporting, and recommendations to senior management and governance committees.
• Drive remediation efforts and oversee the resolution of compliance incidents, findings, and regulatory matters.
• Lead or contribute to strategic compliance projects and regulatory change initiatives.

Requirements

• Bachelor's degree
• At least 12+ years of compliance experience within banking, capital markets, securities, asset management, or related financial services environments.
• Strong knowledge across one or more areas such as equities, derivatives, fixed income, corporate finance, asset management, or wealth management.
• Experience engaging with regulatory authorities and managing regulatory risk in a complex environment.
• Strong analytical and problem-solving capabilities with the ability to exercise sound judgement.
• Excellent stakeholder management and communication skills.
• Ability to work independently while managing multiple priorities in a fast-paced environment.

EA R1981013