Vice President, Private Wealth Compliance Officer (Securities)
This role at SMBC Group involves managing compliance for the Private Wealth business unit in Singapore. The incumbent will provide regulatory advice, perform gap analyses, conduct monitoring and testing, and ensure adherence to AML/KYC standards. The candidate is expected to have strong experience in wealth management compliance and familiarity with MAS guidelines. This is a dual-hatted role reporting to both Nikko Securities and SMBC teams.
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Experience
5-7 years
Function
Finance
Work mode
Onsite, Singapore
Company
Tier 2
What you will work on
This role at SMBC Group involves managing compliance for the Private Wealth business unit in Singapore. The incumbent will provide regulatory advice, perform gap analyses, conduct monitoring and testing, and ensure adherence to AML/KYC standards. The candidate is expected to have strong experience in wealth management compliance and familiarity with MAS guidelines. This is a dual-hatted role reporting to both Nikko Securities and SMBC teams.
TAL's take
Established global banking institution with a clear, well-defined regulatory compliance scope.
Clear and detailed responsibilities focusing on private wealth compliance, regulatory monitoring, and advisory tasks.
Must haves
- 5-7 years of compliance experience in financial institutions
- Strong working experience in general compliance frameworks
- Understanding of AML, CFT, and cross-border regulations
- Knowledge of SFA/FAA requirements
- Bachelor's degree in Law, Finance, Business, or Accounting
Tools and skills
Nice to have: cams, ica, cfa.
About the company
Global financial institution, but this is a specific regional office role rather than a top-tier tech engineering hub.
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