We are seeking a Business Compliance Manager to join the Group Legal & Compliance function.
This role provides group-level advisory support to local compliance teams and business units, particularly on complex front-office conduct risk matters and cross-border issues.
You will work closely with local compliance officers to ensure regulatory interpretation, policy application, and business practices remain aligned with group standards and evolving regulatory expectations.
Key Responsibilities
- Provide advisory support to local compliance teams on business compliance matters and regulatory interpretation.
- Review new business initiatives, products, and marketing materials where group input is required.
- Support resolution of cross-border compliance issues and escalated conduct risk matters.
- Provide guidance on sales governance, conflicts of interest, and MNPI-related controls.
- Assist in group-level compliance reviews and remediation tracking.
- Monitor regulatory developments and support implementation coordination across jurisdictions.
- Support regulatory inspections, audits, and ad hoc compliance initiatives when required.
Requirements
- 37 years of compliance experience within financial institutions, brokerage firms, or regulators.
- Good understanding of brokerage business activities and front-office conduct risk.
- Familiarity with conflicts of interest management and MNPI governance.
- Working knowledge of APAC regulatory frameworks.
- Strong analytical and documentation skills.
- Good stakeholder management and communication abilities.
- Able to operate independently in a fast-paced, regulated environment.
