A top-tier investment bank is urgently hiring a VP - Compliance in Singapore. Great opportunity to work with experienced Compliance leader and team members. Please note NO WORK VISA SPONSORSHIP is provided!
- Cash Equities experience (MUST HAVE)
- Experienced working in Sales and Trading, Exchange or Regulator, Global Markets, Securities/Brokerage industries
- Familiar with SGX and MAS regulations
Main responsibilities:
- Provide advisory either independently or with other team members, including regional Product Compliance on compliance issues across all the organisation&aposs institutional securities businesses in Singapore and ASEAN, with a primary focus on the equities business.
- Regulatory tracking
- Carries out and updating of Policies and Procedures
- Invovled in Training: Design and deliver training on a broad array of relevant Compliance and regulatory topics.
- Compliance Reviews; provides advice to the monitoring and testing team to guide their reviews of the Singapore and ASEAN business, including risk identification, review design and resolution of action items.
- Compliance Surveillance, regulatory and client Enquiries
- Help with enquiries from regulatory authorities and clients and liaise with Legal and Compliance professionals and other support areas of the Firm on these matters.
- Assist in the co-ordination of regulatory audits and visits and follow-up on findings as necessary.
Main requirements:
- Bachelor&aposs degree in Legal, Accounting, Business or Finance from a recognised University
- 12 to 14 years of experience in the financial services sector preferably in Singapore Country/Markets Compliance. Experience working at the securities exchange or at the regulator is advantageous
- Strong knowledge of MAS and SGX regulations
- Sound understanding of sales and trading products and practices, especially cash equities sales and trading area.
- Experience in investment banking related processes and procedures including information barriers, conflict clearance, etc would be advantageous
- Strong and effective communication skills, team player, motivated, meticulous, ability to multi-task and thrives in working in a fast-paced, dynamic working environment
- Strong analytical and judgement skills to identify risks and resolve issues in a timely manner, good time management skills
