Associate, Capital Markets (Control Room), Group Compliance recruitment
Group Compliance is committed to implementing compliance best practices across the DBS Group to protect our reputation as well as our capital. It provides leadership, oversight and guidance for the establishment of a strong compliance culture and framework.
Responsibilities
- Monitoring the Chinese Walls within the Bank, particularly timely input and maintaining the Bank’s Restricted Lists (ie grey lists, blackout lists)
- Administering and implementing the Bank’s Blackout Lists and instituting the relevant restrictions on research, PIP and proprietary trading
- Monitoring and clearing equity research against the Bank’s Restricted and Blackout Lists
- Reviewing research guidelines for transactions to ensure compliance with regulatory and syndicate restrictions(includes pre-deal research)
- Assist in managing conflicts by performing timely conflict clearances by Business Units
- Facilitate Chinese wall crossings and maintaining the Wall Crossing Register
- Conducting compliance related training
- Reviewing policies relating to the bank’s personal investment policy, chinese wall policy and conflict clearance policy
- Perform monitoring of staff personal trades and escalating irregularities
- Disseminating and analysing impact of new regulations and consultation papers
- Perform annual fit and proper reviews
Requirements
- Degree in Banking or Finance or Business
- 2 to 5 years experience in a Bank or securities firm with experience in control room environment
- Trade surveillance or monitoring experience
- Experience reviewing and clearing of equity research and pre-deal research reports
- Familiar with SFA, FAA (including licensing matters and insider trading requirements)
- Experience in conflict management and familiar with securities products and Chinese wall issues
- Confident to provide compliance trainings to business units
April 9, 2012
• Tags: Associate, Capital Markets (Control Room), Capital Markets careers in the Singapore, Group Compliance recruitment • Posted in: Financial