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AVP - Compliance and Controls, ASDV/SPDA

SMBC Group

Singapore, Singapore, Singapore Full-time July 03, 2026
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Found Description

Responsibilities

:
  • Provide advisory support and serve as resource to departments in ASDV regarding compliance and control issues.
  • Maintenance of risk control register, conduct ongoing review of key risk areas, perform risk assessments to identify gaps and formulate measures to enhance effectiveness of controls.

  • As 1 LOD, proactively manage surveillance and compliance reviews by 2 LOD, by identifying and addressing control weaknesses ahead of 2LOD review, coordinate business responses to information requests and ensuring findings are remediated promptly

  • Oversee COI and PSI controls within department, incl. wall crossing procedures, information barrier protocols and restricted list maintenance.

  • Review pitchbooks for regulatory compliance, fair dealing, disclosure accuracy for required disclaimers and cross border marketing distribution.

  • Assess Accredited Investor/Institutional Investor status based on complex structure...

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    Found Details

    LocationSingapore, Singapore
    CountrySingapore
    TypeFull-time
    CategoryBusiness Operations Specialists
    PostedJuly 03, 2026

    About SMBC Group

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    SMBC Group

    Singapore, Singapore

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