SVP, Compliance Advisory, Markets and Security Services

  • Sector: LMA Asia Legal & Compliance
  • Contact: Bryant Tan
  • Client: LMA
  • Location: Singapore
  • Salary: Negotiable
  • Expiry Date: 01 December 2022
  • Job Ref: BBBH401523_1667281909

SVP, Compliance Advisory, Markets and Security Services

We are currently seeking a high calibre professional to join our team as an SVP, Compliance Advisory, Markets and Security Services.

Principal Responsibilities

  • The SVP CA is a key role to support the Head of CA, MSS and Head of CA, Wholesale Banking (WSB) whom the Head of CA, MSS reports to
  • The role has broad responsibilities for supporting implementation and management with guidance from respective Compliance Team Heads in all aspects of Regulatory & FCC Compliance for the Singapore wholesale Business. These includes impact analysis of regulatory changes, managing regulatory risk assessment, assessing conduct risks, providing compliance advisory, and driving and execution of the various Regulatory & FCC Compliance work streams and assurance for the Wholesale Business Lines in Singapore, while ensuring alignment with Global Standards
  • The role requires strong partnership with the various LOB business and leadership teams. As part of the Singapore Country Strategic Advisory Plans (CSP) and the company Group pivot to Asia strategy where Singapore is a Scale and priority market, there are ambitious growth plans due for execution in Singapore and SEA, with Singapore being a key site for the SEA strategy. These CSP growth plans include various digital initiatives and cross border strategies and introduction of new products and services
  • These plans introduce various RC and FCC risks (i.e. cross border, FCC risks, Fraud risks etc.) that require the Compliance teams to be able to advise and risk steward these initiatives. Being a GCB 4, the role will also require maturity and ability to communicate/interact with senior business stakeholders
  • The role will also need to stay at the forefront of regional regulatory changes impacting the Wholesale Businesses, in particular the Markets space, to provide support for proactive communication with business and develop appropriate policy and framework to manage the changes, including creating regulatory compliance awareness through proactive engagement with business stakeholders and training
  • Risk stewardship and involvement in the Group NFRO transformation are also part of the role


  • The role is to assist the Compliance Team Lead Singapore to support MSS and diversified Global Wholesale Business in Singapore
  • Role requires 10+ years of Regulatory &/ or FCC compliance experience
  • Have good working knowledge of regulations (ie. Banking Act, SFA, FAA)
  • Have excellent interpersonal and negotiation skills
  • Must be analytical and have a good eye for detail. - Possess strong communication skills both verbal and written
  • Able to work under pressure and tight deadlines
  • Able to work both as a team player as well as independently
  • To be considered for this role, the relevant rights to work in Singapore is required.

Company Reg No.: 201131609D, Licence No.: 11C4684, EA Reg no: R1660533