Equities Business Compliance

Overall Purpose of the Role Join a premier Randstad client as a member of the Equities Compliance team. In this role, you will provide day-to-day Business Oversight Compliance coverage primarily to the Equities businesses within Markets in Singapore, including Futures & Options (F&O), while supporting broader APAC priorities and strategic business initiatives. You will deliver timely compliance guidance, identify and assess compliance risks, investigate potential market abuse or conduct incidents, and provide independent check-and-challenge on corrective actions to ensure all business activities strictly align with legal, regulatory, and ethical standards. Key Accountabilities • Act as the primary Compliance Advisory contact for APAC F&O and Singapore Equities Derivatives desks, providing timely regulatory guidance on daily trading and new business initiatives. • Execute the regional Business Oversight Compliance plan, including compliance monitoring, thematic reviews, verification checks, and management reporting. • Support new product approvals and business change initiatives by assessing regulatory risks, approval conditions, and control readiness. • Identify, investigate, and escalate potential conduct concerns or market abuse, while contributing to targeted compliance training and policy reviews. Stakeholder Management and Leadership • Collaborate with Legal, Risk, Surveillance, Financial Crime, and regional control functions to manage compliance risks effectively. • Build trusted, independent working relationships with Front Office leaders, business heads, and key infrastructure partners. • Communicate complex regulatory expectations in plain language, balancing commercial context with firm control standards. Decision-Making and Problem Solving • Exercise sound judgment on complex, time-sensitive market scenarios, accurately prioritizing material risks to recommend proportionate actions. • Escalate issues promptly when regulatory obligations, client interests, market integrity, or governance standards may be compromised. • Proactively challenge unclear or ineffective processes and maintain audit-ready records of key decisions and rationale. Risk and Control Objectives • Provide independent check-and-challenge on conduct, reputational, and operational risk across business activities. • Ensure trading operations comply strictly with applicable regulatory requirements, governance guidelines, and risk limits. Essential Qualifications & Skills • Practical advisory compliance background within an investment banking or global markets environment. • Strong working knowledge of Asian securities rules, regulatory frameworks, and market practices in Futures & Options (F&O) and Equities Derivatives. • Proven experience conducting business oversight compliance, regulatory reviews, and advisory coverage. • Proficiency in Chinese is required as the candidate needs to review documents from Mandarin-speaking countries. • Degree in Finance, Business, Law, Economics, or equivalent practical industry experiences. Reg no: R21101791 EA license no: 994C3609