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Vice President – Equities Compliance (Trading)

Danos GroupSingapore, Pedra Branca, Singapore

25 days ago

Job description

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A leading global investment firm is seeking a VP-level equities compliance professional to join its Legal & Regulatory team in Singapore. This role will cover trading compliance and help drive the development of policies and controls for the firm’s private and public markets investments. We’re looking for someone agile, entrepreneurial, and resourceful, with strong product knowledge and hands-on experience building or enhancing compliance frameworks.

Key Responsibilities

Provide equities trading compliance advisory to portfolio managers and investment teams
Design and implement internal policies, procedures, and controls to mitigate regulatory risk
Lead regulatory change initiatives and horizon scanning across key jurisdictions (e.g., MAS, SFC, SEC)
Investigate policy breaches and manage escalation and remediation processes
Deliver compliance training and support internal governance processes

Requirements

At least 9 years in compliance advisory roles within the financial services industry, ideally from a buy-side firm , but open to candidates from the regulator or sell-side , including broker-dealer

Strong product knowledge in equities and equity derivatives (ETFs, listed options)

Familiar with global trading regulations (SFA, MiFID, EMIR, SEC, SFC, etc.)

Proven track record in implementing compliance programs and advising on trading activity

Confident working independently and across cross-functional teams in a fast-paced environment

Seniority level

Director

Employment type

Full-time

Job function

Other

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Vice President • Singapore, Pedra Branca, Singapore