Regulatory and Investment Compliance Officer, Private Bank (AVP/VP)

We are partnering with an established international private bank is hiring an AVP / VP-level Regulatory & Investment Compliance Officer for its Singapore team.

The platform has a strong Asia presence, a collaborative compliance culture and broad exposure across private banking, investment advisory and wealth management activities.

The Role

You will provide regulatory and investment compliance support to the private banking business, covering staff conduct, trade-related compliance, market conduct and portfolio mandate matters.

Key responsibilities include:

• Advise business and internal stakeholders on regulatory, conduct and trade-related compliance matters
• Monitor controls relating to staff dealing, conflicts, market abuse, investor classification and portfolio mandates
• Review and update compliance policies, manuals and procedures
• Support compliance input for business and digital initiatives
• Provide training and guidance to front office and internal teams
• Work closely with regional compliance, risk, legal and business stakeholders

Your Profile

• Presently an AVP / VP-level regulatory compliance professional
• Current or prior private banking compliance experience required
• Strong knowledge of Singapore regulatory requirements within wealth management
• Exposure to regulatory compliance, investment compliance, staff conduct, conflicts or market conduct controls
• Fintech candidates may be considered if they previously came from private banking compliance
• Practical, business-facing and confident engaging senior stakeholders

Apply Today

Please send your resume to Sarah Sim at [Confidential Information], quoting Regulatory & Investment Compliance Officer – Private Banking. Only shortlisted candidates will be contacted.

Licence No: 24S2395

Registration No: R21102761