Singapore Compliance – Vice President

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Singapore Compliance – Vice President

senior · Risk & Compliance

Company

Jefferies is a leading global, full-service investment banking and capital markets firm, providing investment banking, sales and trading, research, wealth management and asset management services to clients for over 60 years. With more than 7,700 employees across 40+ offices, the Firm offers professionals the opportunity to work in a dynamic, entrepreneurial environment with exposure to a diverse range of businesses, products and markets.

The Singapore Compliance VP will play a key role in overseeing and strengthening the firm’s compliance framework in Singapore. The role will cover regulatory reporting, monitoring and testing, licensing, regulatory engagement, compliance advisory, governance reporting, training, and implementation of regulatory change initiatives. The individual will be expected to operate both strategically and hands-on in a lean team environment, partnering closely with senior management, business stakeholders, regional Compliance teams, and regulators. 

The role will provide Compliance coverage across Equities and Fixed Income Sales and Trading, Research, and Investment Banking.

• Provide oversight and governance of Singapore regulatory reporting obligations, ensuring compliance with applicable regulatory requirements and internal standards.
• Coordinate and manage regulatory enquiries, inspections, audits, and investigations, ensuring responses are timely, accurate, and appropriately reviewed.
• Enhance and execute the firm’s compliance monitoring and testing framework, including surveillance of trading activities and review of key controls to identify, assess, and mitigate regulatory risks.
• Oversee Singapore regulatory licensing matters, including staff licensing applications, regulatory filings, annual returns, and maintenance of accurate licensing records.
• Develop, implement, and maintain compliance policies, procedures, and controls to ensure alignment with regulatory requirements and firm-wide standards. Work with the regional team as required.
• Support and drive the firm’s compliance training programme, promoting a strong culture of compliance, accountability, and ethical conduct.
• Manage core compliance processes, including employee personal account dealing, staff dealing approvals, gifts and entertainment, outside business interests, and adherence to internal policies.
• Prepare and present risk assessments, compliance dashboards, management information, and other governance reports to senior management and relevant committees.
• Monitor regulatory developments and lead the implementation of new regulatory requirements, working with relevant stakeholders to embed changes into business processes.
• Lead and support strategic compliance projects, including policy development, process improvements, control enhancements, and regional or global compliance initiatives.
• Provide practical compliance advice and guidance to business and support functions on applicable Singapore regulatory requirements and internal policies.

• Minimum 10 years of relevant experience in Compliance, internal controls, regulatory advisory, audit, or risk management within the securities, capital markets, or broader financial services industry.
• Prior experience in a global investment bank, securities firm, financial institution, consulting firm, or financial services audit environment would be preferred.
• Strong understanding of Singapore financial services regulations, financial markets, products, and regulatory expectations, especially MAS and SGX rules and regulations.
• Experience with regulatory reporting, compliance monitoring and testing, licensing, regulatory inspections, and implementation of regulatory change.
• Strong analytical, problem-solving, and judgement skills, with the ability to interpret regulatory requirements and translate them into practical business solutions.
• Excellent written and verbal communication skills, with the ability to engage confidently with senior stakeholders, business teams, regional Compliance colleagues, and regulators.
• Proven ability to operate independently in a lean team environment, balancing strategic priorities with hands-on execution.
• High attention to detail, strong organisational skills, and the ability to manage multiple priorities under tight deadlines.
• Self-driven, proactive, and collaborative, with strong leadership qualities and a commitment to fostering a culture of compliance and continuous improvement.