Senior Vice President, Regulatory Compliance CMB and GBM
4 weeks ago
Some careers open more doors than others.
If you’re looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further.
Regulatory Compliance ensures adherence to applicable regulations and standards by setting the policies which cover HSBC’s regulatory requirements, and mitigate conduct and reputational risk issues. The team strives to remain ahead of the regulatory change agenda and ensures the business understands the implications and is prepared for change. It monitors how the Global Businesses and Functions manage their responsibilities with regard to complying with the regulations and helps resolve compliance deficiencies.
We are currently seeking a high calibre professional to join our team as a Senior Vice President, Regulatory Compliance CMB and GBM.
Principal Responsibilities
This is a key role to support the Head of Regulatory Compliance (“RC”), Markets & Securities Services (“MSS”) and Head of RC, Commercial Banking & Global Banking and Markets (“CMB & GBM”), whom the Head of MSS RC reports into. The role has broad responsibilities for supporting implementation and management in all aspects of Regulatory Compliance for the CMB & GBM Business in Singapore, particularly the Markets 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 Compliance work streams and assurance for MSS in Singapore, while ensuring alignment with Global Standards.
The role requires strong partnership with the various lines of business and risk and compliance teams. As part of the Singapore Country Strategic Advisory Plans (CSP) and the HSBC Group pivot to Asia strategy where Singapore is a scale and priority market, there are ambitious growth plans due for execution in Singapore and South East Asia (“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 Regulatory Compliance risks ( cross border, conduct risks etc.) that require the Regulatory Compliance team to be able to advise and risk steward these initiatives.
The role will also need to stay at the forefront of regional regulatory changes impacting the CMB & GBM 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 under the bank’s Non-Financial Risk (“NFR”) framework is also part of the role.
Description:
Assist the Head of RC, MSS, CMB & GBM in providing directions and guidance on regulatory compliance matters to the business units, particularly the MSS business Monitor and assess the impact of regulatory developments and changes on our businesses in Singapore, including advising on the appropriate actions and solutions to ensure compliance and mitigate risks Conduct regular conduct compliance reviews, risk assessments to evaluate the adequacy and effectiveness of the regulatory compliance controls and process, including reporting on findings and recommendations Manage and provide training and awareness programs for staff and stakeholders, and foster a compliance culture within the organization Reviews and assist in carrying out the effective deployment NFR framework Review new product approvals and any new business initiatives Assist in providing oversight and support over transaction and surveillance framework Assist to maintain effective regulatory relationships including acting as a liaison with regulators and auditors Liaise/engage with relevant stakeholder as well as other Global Business and Functions in Singapore to provide expertise and support on all Regulatory Compliance related matters Interact with Regulators and industry bodies in Singapore, on Compliance matters Ensure the appropriate timely and relevant risk information is provided to management, in-country management and Regulatory Compliance management in Singapore and region Strong communication and working relationship within other Regulatory Compliance teams, other Risk Disciplines, Functions and Global Businesses to ensure implementation of new disciplines Share best practice with other business lines Maintain and develop positive and professional working relationships with business managers at the Global and Country levels Resolve any/all identified issues promptly, and escalate concerns to line managers, Head of Regulatory Compliance and Chief Risk and Compliance Officer (“CRCO”) in Singapore as appropriate to ensure timely awareness of any material concerns Maintain and observe all HSBC control standards and implement and observe policies and procedures, including the timely implementation of recommendations made by internal/external auditors and external regulators Maintain awareness of operational risk and minimise the likelihood of it occurring including its identification, assessment, mitigation and control, loss identification and reporting Requirements Min. 7+ years of Regulatory Compliance experience in MSS, where such experience in Markets business relating to sales and trading of various asset classes such as equities, FX and FI is an added advantage Have good working knowledge of regulations ( 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 Familiar with MSS business/products and its accompanying RC risks-
Singapur, Singapore HSBC Full timeSome careers open more doors than others. If you're looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further. Regulatory...
-
Senior Vice President, Regulatory Compliance
4 weeks ago
Singapur, Singapore HSBC Full timeSome careers open more doors than others. If you’re looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further. HSBC Life in...
-
Associate Vice President, Compliance
2 weeks ago
Singapur, Singapore Ares Management Corporation Full timeDescriptionOverview:The Ares Legal & Compliance Department manages Ares' global Legal, Regulatory, and Compliance functions. The Compliance and Regulatory teams work collaboratively on global regulatory matters including the Advisers Act, Investment Company Act, FINRA, regional compliance, and Financial Crimes Prevention.Role Summary:Ares is hiring an...
-
Singapur, Singapore OCBC Bank Full timeManager/Assistant Vice President, Financial/ Regulatory Reporting -(240000NG) Description Job Responsibilities: To lead the team in preparation of financial and regulatory reports to Group, BNM, PIDM and other regulatory authorities; To ensure compliance with accounting standards (i.e., IFRS & MFRS), policies and regulatory guidelines and...
-
Singapur, Singapore OCBC Bank Full timeManager/Assistant Vice President, Financial/ Regulatory Reporting -(240000NG) Description Job Responsibilities: To lead the team in preparation of financial and regulatory reports to Group, BNM, PIDM and other regulatory authorities; To ensure compliance with accounting standards (i.e., IFRS & MFRS), policies and regulatory guidelines and...
-
Fixed Income
2 months ago
Singapur, Singapore JPMorgan Chase & Co. Full timeJob Summary: As a Vice President in a line of business Compliance team covering Fixed Income, Currency and Commodities (FICC) , you’ll be centrally involved in all aspects of the financial product sales and trading. You’ll work as part of a team that provide credible challenges and give advice to internal stakeholders on the impact of regulatory...
-
Fixed Income
4 weeks ago
Singapur, Singapore JPMorgan Chase & Co. Full timeJob Summary: As a Vice President in a line of business Compliance team covering Fixed Income, Currency and Commodities (FICC) , you’ll be centrally involved in all aspects of the financial product sales and trading. You’ll work as part of a team that provide credible challenges and give advice to internal stakeholders on the impact of regulatory...
-
Singapur, Singapore HSBC Full timeSome careers open more doors than others. If you’re looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further. Wealth and...
-
Vice President, Regulatory Compliance WPB
2 months ago
Singapur, Singapore HSBC Full timeSome careers open more doors than others. If you’re looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further. Global Asset...
-
Vice President, Regulatory Compliance WPB
4 weeks ago
Singapur, Singapore HSBC Full timeSome careers open more doors than others. If you’re looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further. Global Asset...
-
Associate Vice President, Compliance
1 month ago
Singapur, Singapore Ares Management Corporation Full timeDescription Overview: The Ares Legal & Compliance Department oversees and manages Ares’ global Legal, Regulatory and Compliance functions and programs. Under the leadership of the Global Chief Compliance Officer, the Compliance and Regulatory functions are comprised of teams that operate collaboratively with a global focus, including Regulatory,...
-
Associate Vice President, Compliance
4 weeks ago
Singapur, Singapore Ares Management Corporation Full timeDescription Overview: The Ares Legal & Compliance Department oversees and manages Ares’ global Legal, Regulatory and Compliance functions and programs. Under the leadership of the Global Chief Compliance Officer, the Compliance and Regulatory functions are comprised of teams that operate collaboratively with a global focus, including Regulatory,...
-
Associate Vice President, Compliance
1 month ago
Singapur, Singapore Clearstream Banking S.A. Singapore Branch Full timeField of Activity To ensure the activities of the Fund Services business line are conducted in accordance with applicable laws, regulations, circulars, and directives; and focus on regulatory and policy requirements applicable to Clearstream’s global customer base, products and services with the mission to ensure that Clearstream maintains high...
-
Associate Vice President, Compliance
4 weeks ago
Singapur, Singapore Clearstream Banking S.A. Singapore Branch Full timeField of Activity To ensure the activities of the Fund Services business line are conducted in accordance with applicable laws, regulations, circulars, and directives; and focus on regulatory and policy requirements applicable to Clearstream’s global customer base, products and services with the mission to ensure that Clearstream maintains high...
-
Compliance AML Risk Management
7 days ago
Singapur, Singapore 11112 Citibank, N.A. Singapore Full timeDescription The Compliance Anti Money Laundering Risk Management Senior Manager is a senior professional level role responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader Anti-Money Laundering (AML) team. The overall objective is to manage a...
-
Head of Customer Care Team
2 weeks ago
Singapur, Singapore OCBC Bank Full timeJob Description - Head of Customer Care Team (Vice President) (240000QQ) Head of Customer Care Team (Vice President) - ( 240000QQ ) The Head of the Customer Care Team (Consumer Secured Lending) leads to deliver delightful customer experience, promoting customer loyalty and business growth. Key roles and responsibilities include: Design and deliver...
-
Head of Customer Care Team
2 weeks ago
Singapur, Singapore OCBC Bank Full timeJob Description - Head of Customer Care Team (Vice President) (240000QQ) Head of Customer Care Team (Vice President) - ( 240000QQ ) The Head of the Customer Care Team (Consumer Secured Lending) leads to deliver delightful customer experience, promoting customer loyalty and business growth. Key roles and responsibilities include: Design and deliver...
-
Senior Vice President, Compliance Audit, Group Audit
3 months ago
Singapur, Singapore United Overseas Bank Full timeSenior Vice President, Compliance Audit, Group Audit Posting Date: 26-May-2023 Location: Singapore (City Area), Singapore, 048624 Company: United Overseas Bank Ltd About UOB United Overseas Bank Limited (UOB) is a leading bank in Asia with a global network of more than 500 branches and offices in 19 countries and territories in Asia...
-
Singapur, Singapore United Overseas Bank Full timeSenior Vice President, Compliance Audit, Group Audit Posting Date: 26-May-2023 Location: Singapore (City Area), Singapore, 048624 Company: United Overseas Bank Ltd About UOB United Overseas Bank Limited (UOB) is a leading bank in Asia with a global network of more than 500 branches and offices in 19 countries and territories in Asia...
-
Vice President, AFC Risk
2 months ago
Singapur, Singapore United Overseas Bank Full timeVice President, AFC Risk & Governance, Group Compliance Posting Date: 25-May-2023 Location: Singapore (City Area), Singapore, 048624 Company: United Overseas Bank Ltd About UOB United Overseas Bank Limited (UOB) is a leading bank in Asia with a global network of more than 500 branches and offices in 19 countries and territories in Asia...
