Head of Compliance (Securities Trading)

An exceptional opportunity has arisen for you to step into the role of Head of Compliance (Securities Trading), based in Singapore. This position is ideal for someone who thrives in a collaborative and supportive environment, where your expertise will be valued and your contributions will directly influence the integrity and success of a leading financial institution.

What you'll do:

As Head of Compliance (Securities Trading) in Singapore, you will be entrusted with safeguarding the organisation’s reputation by ensuring strict adherence to all applicable laws and regulations governing securities trading.

• Oversee the design, implementation, and maintenance of comprehensive compliance programmes tailored to securities trading operations, ensuring alignment with local and international regulatory requirements.
• Monitor ongoing regulatory developments relevant to securities markets in Singapore and key global jurisdictions, proactively updating internal policies and procedures as needed.
• Lead regular risk assessments across trading activities to identify potential areas of non-compliance or operational risk, recommending effective mitigation strategies.
• Collaborate closely with business units, legal counsel, and external advisors to ensure seamless integration of compliance controls into daily operations.
• Develop and deliver engaging training sessions for staff at all levels to promote awareness of compliance obligations and foster a culture of ethical behaviour.
• Manage relationships with regulators, auditors, and other stakeholders by preparing timely reports, responding to inquiries, and facilitating inspections or audits as required.
• Conduct thorough investigations into suspected breaches or incidents, documenting findings clearly and implementing corrective actions promptly.
• Support new product launches or business initiatives by providing expert guidance on regulatory implications and necessary approvals.
• Maintain accurate records of compliance activities, including policy updates, audit results, incident logs, and correspondence with authorities.
• Provide mentorship and coaching to junior compliance team members, encouraging knowledge sharing and professional development.

What you bring:

To excel as Head of Compliance (Securities Trading), you will bring substantial hands-on experience from similar roles within reputable financial institutions.

• Extensive experience managing compliance functions within securities trading or related financial services environments, ideally with exposure to cross-border regulations.
• In-depth understanding of Singaporean financial regulations (MAS) as well as international frameworks such as FATCA, CRS, MiFID II or equivalent.
• Proven track record in designing effective compliance monitoring systems that address both operational risks and evolving regulatory landscapes.
• Exceptional interpersonal skills enabling you to build trust-based relationships with internal teams as well as external regulators or auditors.
• Strong analytical abilities allowing you to interpret complex legislation or guidance documents accurately while identifying practical solutions for implementation.
• Demonstrated ability to manage multiple projects simultaneously while maintaining meticulous attention to detail under tight deadlines.
• Experience delivering engaging training sessions or workshops on compliance topics tailored for diverse audiences within the organisation.
• Familiarity with digital tools used for compliance monitoring or reporting; prior experience with Yardi accounting software is considered beneficial but not essential.

What sets this company apart:

This organisation stands out due to its unwavering commitment to professionalism, integrity, and long-term value creation within the financial sector. Employees benefit from an inclusive culture where collaboration is encouraged at every level—ensuring everyone feels supported in their personal growth journey. The company places great emphasis on open dialogue between colleagues as well as trusted partnerships with clients; this fosters an environment where ideas are freely exchanged and innovation flourishes naturally. Flexible working arrangements allow you to balance career ambitions with family commitments or personal interests outside work. Ongoing training opportunities ensure your skills remain current amid changing industry demands—while generous pension contributions provide peace of mind for your future security. Above all else, you’ll join a team that genuinely cares about making a positive impact: not just within the company but also across wider communities served by its operations.

What's next:

If you are ready to take your career in compliance leadership further while making a meaningful difference within securities trading—this is your moment!

Apply today by clicking on the link provided; we look forward to learning more about how your unique experience can contribute to our continued success.

Do note that we will only be in touch if your application is shortlisted.
Robert Walters (Singapore) Pte Ltd
ROC No.: 199706961E | EA Licence No.: 03C5451
EA Registration No.: R22105333 Nur Humaira Binte Jamall Abd Nassir