Fantastic and Control Room Compliance opportunity with a reputable and forward looking buy side organisation based in Singapore. NO WORK VISA SPONSORSHIP IS PROVIDED!
Main responsibilities : -
- Performs all aspects of the daily operations of the Control Room, including but not limited to reviewing insider lists, wall crossings, advising on the assessment of material non-public information, imposing dealing restrictions and approving requests for personal investments by staff.
- Work closely with the Technology Group and their vendors to enhance their existing systems to ensure that their controls remain robust and effective.
- Monitor and identify changes in investment/trading and operational activities and global regulatory developments that justify an update to existing policies or the development of new processes to ensure that Information Barrier and Personal Investments Policies remain updated and effective.
- Conduct periodic policy and process reviews and consultation with stakeholders, and present proposed policy changes to senior management
- Advise on other general compliance policies, which includes conflicts of interest, gifts & entertainment and external personal appointments/activities. Review staff's declarations on conflicts of interest, gifts & entertainment, and external personal appointments/activities.
- Help in Compliance Risk Assessments, and implement additional Compliance processes, where required.
- Track, analyze and report management information and key Compliance risk metrics, and identify areas for improvement to existing policies, processes and controls.
- Conduct ex-post monitoring and communications surveillance on selected market abuse scenarios. Investigate and enforce any policy violations that are detected.
Main requirements :-
- 5 to 8 years experience in the financial services industry, preferably in a Control Room function
- Exhibits interest and awareness of the global regulatory and enforcement landscape and an understanding of securities laws and regulations.
- Strong understanding of information control and conflicts of interest issues.
- Able to engage with senior front office, confident to interface and uphold compliance positions under pressure.
- Knowledeable about financial markets and experience in at least one or more asset classes such as Equities, Fixed Income, Derivatives, Commodities and FX.
- Meticulous, able to manage large data sets and identify patterns / inconsistencies.
- Strong analytical, problem-solving, and investigative skills.
- Perform processes via systems and handle multiple compliance reviews and projects at the same time and meet deadlines.
- Familiarity with using (Bloomberg, Reuters, etc.).
