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Vice President – Equities Compliance (Trading)

Vice President – Equities Compliance (Trading)

Danos GroupSingapore, Pedra Branca, Singapore
30+ days ago
Job description

Vice President – Equities Compliance (Trading)

Vice President – Equities Compliance (Trading)

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

    Seniority level

    Director

    Employment type

    Employment type

    Full-time

    Job function

    Job function

    Other

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