Head of Capital Markets Compliance, Singapore & Hong Kong

Job SummaryYou will be responsible for protecting RBCCMs brand and enable achievement of business goals through an integrated compliance culture and program across the enterprise.

Job Description

What is the opportunity?

As the Head of Capital Markets Compliance, Singapore & Hong Kong, you will be responsible for protecting RBCCMs brand and enable achievement of business goals through an integrated compliance culture and program across the enterprise by:

Aligning regulatory priorities with the Business and RBC;

Creating and maintaining an effective relationship with regulators to enable reputation and regulatory issues to be appropriately managed;

Establishing and maintaining a strong, effective control environment to provide a framework; and

Identifying and communicating compliance risks inherent in the business to senior management and the business.

What will you do?

To provide updates and escalate to Regional Head of Compliance, APAC and Head of Compliance, Singapore where appropriate, areas of concern on compliance and regulatory matters relating to Capital Markets and TMS Business.

To provide compliance support to Capital Markets in Singapore, Global Investing Banking (“GIB”) business in Hong Kong and address any queries that the Businesses may have with respect to their obligations under any relevant rules and regulations, codes and guidelines issued by the regulatory authorities.

To prepare the relevant compliance policies and procedures for the business to review regulatory rule changes issued by local regulators, exchanges and other relevant bodies and amend procedures where necessary.

To liaise where necessary with the relevant regulatory bodies and exchanges in relation to any queries raised by such bodies or to request guidance on any matters.

Participate as required in internal investigations into potential breaches of regulatory requirements or firm policy.

To assist in any new initiatives undertaken by businesses by advising on any applicable regulatory requirements which may have impact on such an initiative. This includes reviewing, advising on and drafting appropriate text from a compliance perspective for New Business Committee proposals and Local Change Initiatives.

To provide pro-active, timely advice on the relevant regulatory and firm policy requirements in respect of ad hoc queries, specific transactions, new product initiatives etc.

To provide training to staff at all levels on the application of the relevant regulations and the standards expected.

To take up ad hoc regional/global projects and initiatives from time to time

What do you need to succeed?

Must-have

Degree or equivalent is required

The role would typically require 15+ years of experience in Compliance

Good organisational and communication skills

Ability to work well in a team and build relationships at all levels of the bank

Ability to conduct duties expediently with the minimum of supervision

Aptitude for accuracy, attention to detail, and hands-on approach

Good computer literacy, knowledge of Word, Excel and Outlook essential

Nice-to-have

Good knowledge of the local regulatory framework (MAS) including cross border implications; knowledge of HKMA/SFC in relation to GIB.

What’s in it for you?

We thrive on the challenge to be our best - progressive thinking to keep growing and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

A comprehensive Total Rewards Program including bonuses, flexible benefits and competitive compensation

Leaders who support your development through coaching and managing opportunities

Opportunities to work with the best in the field

Ability to make a difference and lasting impact

Work in a dynamic, collaborative, progressive, and high-performing team

A world-class training program in financial services

Flexible working options fully supported.

Agency Notice

RBC Group does not accept agency resumés. Please do not forward resumés to our employees, nor any other company location. RBC Group only pay fees to agencies where they have entered into a prior agreement to do so and in any event do not pay fees related to unsolicited resumés. Please contact the Recruitment function for additional details.

Job SkillsAudits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address:8 MARINA VIEW, #26-01 ASIA SQUARE TOWER 1:SINGAPORE

City:Singapore

Country:Singapore

Work hours/week:40

Employment Type:Full time

Platform:CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:Regular

Pay Type:Salaried

Posted Date:2025-04-24

Application Deadline:2025-05-25

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion and Equal Opportunity Employment

At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

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