Job description
Overview This is a dual hatted role and will entail reporting to the Team Lead of Private Wealth Compliance in Nikko Securities and Team Lead of Compliance Team in SMBC Singapore. Job Responsibilities Provide advice to Private Wealth Business Unit and other stakeholders on regulatory matters including but not limited to investment suitability, licensing/ RNF matters, cross-border compliance, Personal Account Dealing, handling of MNPI, regulatory requirements involving SFA, FAA, PB Code of Condu…