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Vice President, Private Wealth Compliance Officer (Securities)

SMBC Group

Singapore, Singapore, Singapore Full-time July 12, 2026
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Found Description

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, em...

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    Found Details

    LocationSingapore, Singapore
    CountrySingapore
    TypeFull-time
    CategoryFinancial Specialists
    PostedJuly 12, 2026

    About SMBC Group

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    SMBC Group

    Singapore, Singapore

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