VP/Director - Compliance (Wholesales)

SMBC Nikko Securities (Singapore) Pte. Ltd. is the Singapore-based securities and investment banking subsidiary of SMBC Nikko Securities Inc., which is part of Sumitomo Mitsui Financial Group (SMFG), one of Japan's largest financial groups. The Singapore office serves as a regional hub for institutional and corporate clients across Asia-Pacific.

Job Purpose

The job purpose of Wholesale Compliance is to ensure the organisation's wholesale business operations, working closely with the compliance teams in SMBC and the regions, adhere to all relevant regulations and internal policies, mitigating risk and promoting long-term business stability.

Job Responsibilities

Principle role is to support Compliance Department in :-

• Compliance KYC lead to perform, assist with and also provide guidance to other AML/KYC team members on Customer due diligence for onboarding, periodic review of c...