Compliance, Rules & Policy (Listed FI)

Roles & Responsibilities

Lico Resources is partnering with a well-established financial institution recognised for its strong governance culture and commitment to regulatory excellence across its regional operations.

An exciting opportunity has opened for an experienced policy and regulatory professional to join a high-performing function responsible for shaping frameworks that support sound market practices and regulatory alignment. This strategic role will appeal to individuals passionate about contributing to policy development, regulatory engagement, and risk management in a fast-evolving financial services landscape.

### Key Responsibilities:

- Design and enhance internal policies and operational rules related to trading, settlement, and post-trade processes, ensuring alignment with local and international regulatory expectations

- Lead reviews of existing frameworks to reflect changes in market practices, emerging financial risks, and stakeholder feedback

- Draft clear, actionable policy documents including internal guidelines, regulatory submissions, and governance papers

- Collaborate with legal, compliance, risk, and business teams to ensure frameworks are practical, enforceable, and support organisational objectives

- Provide internal advisory support on the interpretation and application of regulatory policies and operational protocols

- Support engagement with external regulators, industry associations, and key market stakeholders to align internal practices with broader regulatory developments

- Conduct in-depth legal and regulatory research to assess the implications of global policy trends and market innovations

- Contribute to risk assessments and scenario analysis related to proposed policy or procedural changes

- Prepare briefing notes, internal reports, and stakeholder communication materials to support change management and governance oversight

### Qualifications:

**Essential:**

- Degree in Law, Finance, Business, Economics, or a related field

- Minimum 4 years’ experience in financial services regulation, legal advisory, or policy development within a bank, consultancy, or financial institution

- Strong understanding of financial markets operations and the regulatory landscape within Singapore and the broader Asia-Pacific region

- Demonstrated ability to synthesise complex regulatory topics into clear policy proposals and advisory guidance

- Excellent writing, research, and analytical skills

**Preferred:**

- Familiarity with regional regulatory regimes (e.g. MAS, SFA, Companies Act)

- Prior experience working with regulatory authorities, legal advisory teams, or within financial governance functions

- Effective communicator with the ability to manage cross-functional stakeholders and regulatory interactions

- Strong organisational skills and ability to manage multiple priorities in a deadline-driven environment

If you are interested in this role, please send us your updated resume today to nicole@licoresources.com quoting reference number **A07836**. Please note that only shortlisted candidates will be notified.

"Data provided is for recruitment purposes only."

Job Reference No: **A07836**

EA Licence No.: 13C6733

EA Registration No.: R1333454

Tell employers what skills you have

Due Diligence
Risk Assessment
Regulatory Compliance
Analytical Skills
Change Management
Regulatory Affairs
Investigation
Regulatory Strategy
Risk Management
Economics
Compliance
Writing
Banking
AML
Regulatory Requirements
Legal Compliance
Regulatory Submissions
Financial Services