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SMBC Group

Vice President, Private Wealth Compliance Officer (Securities)

SMBC Group
Singapore
5-7 Years
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Job Description

This is a dual hatted role and will entail reporting to the Team Lead of Private Wealth Compliance in Nikko Securities and Team Lead of Compliance Team in SMBC Singapore.

Job Responsibilities :

  • Provide advice to Private Wealth Business Unit and other stakeholders on regulatory matters including but not limited to investment suitability, licensing/ RNF matters, cross-border compliance, Personal Account Dealing, handling of MNPI, regulatory requirements involving SFA, FAA, PB Code of Conduct and other general compliance matters to ensure adherence to internal policies & procedures.
  • Perform gap analysis on new regulations, regulatory changes, MAS's Information Papers that impacts the Private Wealth Business.
  • Assist in the implementation of new regulatory requirements and ensure adherence to these requirements for Private Wealth Department by assisting to update the relevant policies and procedures, controls etc.
  • Conduct Monitoring & Testing reviews on various regulatory obligations including but not limited to as investment suitability, cross-border compliance, personal account dealing, gift & entertainment, email/ phone surveillance, market abuse etc.
  • Perform Private Wealth Compliance Self-Assessment reviews and work with the relevant stakeholders to address gaps identified.
  • Perform quality checks for AML/ CFT/ Sanctions: KYC onboarding, periodic review, clearance of alerts in screening and monitoring tools.
  • Work with the other team members in maker/checker tandems, on KYC/ AML matters (where required).
  • Assist to perform reviews of parameters and functionalities of KYC/ AML monitoring systems (where required).
  • Prepare compliance meeting materials/ minutes and management reports.
  • Conduct compliance training and carry out any ad-hoc compliance task/ project.

Job Requirements

  • Minimum 5-7 years of experience in compliance within a private bank, wealth management firm, or financial institution
  • Strong working experience to general compliance frameworks, including advisory, monitoring, and policy implementation
  • Experience supporting front office activities in a private banking or wealth management environment is preferred
  • Education
  • Minimum Bachelor's degree in Law, Finance, Business, Accounting, or a related discipline
  • Professional certifications (e.g., CAMS, ICA, CFA, or equivalent) would be an advantage
  • Regulatory Knowledge
  • Strong understanding of relevant regulatory requirements and guidelines, including:
  • Anti-money laundering (AML) and countering the financing of terrorism (CFT)
  • Cross-border regulations and suitability requirements
  • Client onboarding, KYC and due diligence standards
  • Conduct and sales practices applicable to private banking
  • SFA/FAA requirements
  • Familiarity with local regulatory expectations (e.g., MAS guidelines) and global standards

Key Competencies

  • - Attention to Detail, ability to review complex client structures, transactions, and documentation with a high degree of accuracy
  • Strong focus on identifying inconsistencies, gaps, and potential compliance risks
  • Capability to assess issues pragmatically and provide practical, risk-based solutions
  • Able to balance business needs with regulatory expectations
  • Strong analytical skills to interpret regulations and apply them to real-world scenarios
  • Ability to challenge assumptions and escalate concerns appropriately
  • Clear and effective communication skills, both written and verbal
  • Ability to interact confidently with stakeholders, including relationship managers, senior management, and regulators
  • Able to translate regulatory requirements into practical guidance for the business
  • Ability to identify, assess, and monitor compliance and conduct risks
  • Experience in performing risk assessments, surveillance, and thematic reviews
  • Good judgment in evaluating risk appetite and escalation thresholds

More Info

Job Type:
Permanent Job
Industry:
Other
Function:
Compliance
Employment Type:
Full time

About Company

SMBC Group

Job ID: 151232023

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Last Updated: 15-07-2026 09:19:47 AM
Homejobs in SingaporeVice President, Private Wealth Compliance Officer (Securities)

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