Compliance Manager – Regional role for top tier Financial Advisory recruitment
About Our Client
Our client is a top tier financial advisor that offers a full range of financial advisory services including MA and strategic advisory and financing advisory, including restructuring. They offer trusted, independent advice to regional corporations of all sizes, as well as to overseas investors.
Job Description
- Providing regulatory compliance services and support to regional offices Technical role
- The main responsibility of the job will be to ensure the comprehensive implementation of the compliance manuals for all divisions in the Southeast Asia offices and on-going monitoring of compliance with the rules
- Keep up to date with relevant local rules, regulations, codes and guidelines, with special focus on Licensing, Anti-Money Laundering and continuous professional training for licensed representatives
- Handle compliance related queries as appropriate
- Handle compliance matters such as anti-money laundering clearance, conflict clearance and staff dealing clearance
- Assist with the implementation of the Group’s compliance policies
- Assist in the cultivation of a culture of compliance within the Group in Southeast Asia
- Conduct all new hires’ compliance induction
- Ensure bankers are kept abreast of all relevant regulatory updates
- Conduct compliance reviews of Southeast Asia offices’ activities. Will require travel at intervals to the other Southeast Asia offices
- Correspond with the MAS in respect of their enquiries and requests under the supervision and instruction of the Legal and Compliance Department, Asia
- Prepare monthly global reports for submission to the Group Administrative role:
- Keep track of and maintain an up-to-date record of bankers CPT fulfilment
- Remind bankers at regular intervals throughout the year to fulfil CPT requirement
- Assist in reconciliation of staff dealing and maintenance of relevant records
- Enrolling new hires to regulatory exams and to ensure that they pass the exam within the requisite time frame
- Notifying and updating bankers’ details and status through the MASNET
- Misconduct reporting
The Successful Applicant
- Exposure to investment banking business and financial markets regulation, including mergers and acquisitions, corporate advisory, capital markets and other banking services
- Previous experience of working with investment banks or regulators
- Ability to understand regulatory legislation and documents
- Ability to work independently
- Good organisational and administrative skills
- Methodical and have the ability to prioritize tasks
- Attentive to detail, dependability and well-developed interpersonal skills
- Good communication and presentation skills (including report writing)
- Motivated and conscientious worker, able to meet tight deadlines
- Strong desire to develop a career in compliance in an investment bank
- Ability to read Chinese (both traditional and simplified) is an added advantage
What's on offer
Attractive package, excellent regional and business exposure, travel opportunities
Apply for this job
Apply online using the Apply button below or phone Mark Li on + 65 6533 2777 quoting jobref H1223730
May 8, 2012
• Tags: Compliance, Compliance Manager, Legal careers in the Singapore, Regional role for top tier Financial Advisory recruitment • Posted in: Financial