What is the opportunity
As Associate Director, Capital Markets (CM) Compliance for Singapore and Hong Kong, you will support Singapore and Hong Kong's Global Markets and Global Investment Banking businesses, advising on their various local and global regulatory obligations. You will report to the Head of Capital Markets Compliance, Singapore and Hong Kong.
What will you do
- Maintain a detailed knowledge of applicable regulations, best practices and relevant internal RBC policies and procedures
- Conduct annual risk assessments, including the check and challenge of 1LOD risk assessments for CM Singapore and Hong Kong
- Identify control/governance gaps and track remediation in relevant internal tools, working with the 1LOD to identify appropriate owners, deadlines and required evidence of remediation
- Designing and maintaining Compliance policies and procedures to address identified regulatory risks
- Devising and delivering compliance training to business stakeholders
- Collaborating with colleagues in other regions and other Compliance and Control functions, including: Trade Surveillance Monitoring & Testing Central Services Operational Risk and others to support RBCCM's risk management
- Advise on the application of current and future regulatory requirements
- Draft and present Compliance Management Information and
- Review, advise and draft appropriate text from a compliance perspective for New Business Initiatives.
What do you need to succeed
Must-have
- Degree educated
- Minimum 5 years experience in related compliance role
- Good understanding of Capital Markets business
- Solid understanding of the Singapore Regulatory Requirements
- Strong presentation skills and
- Strong attention to detail.
Nice-to-have
- Compliance Advisory experience.
- Understanding of Hong Kong's Regulatory requirements.
- Good understanding of issues pertaining to public /private information flows and
- Understanding of Global regulatory requirements (examples: Global FX Code SEC CFTC FCA OSFI).
