Compliance, Securities Division Compliance, Associate, Singapore recruitment

The Compliance function consists of 6 pillars: advisory, training, surveillance, testing monitoring, policy procedures and regulatory interface. Divisional Compliance also works closely with other firm departments, such as Legal, Controllers, Credit, Technology, Operations and Internal Audit.  Securities Division Compliance – Equities Compliance in Singapore support  Equity  business units in Singapore. This is a trading floor-based compliance function providing real time support to the equities business.  The role also involves driving forward strategic business initiatives and projects.

RESPONSIBILITIES:
- Primary coverage focused on single-shares salestrading , electronic trading businesses as well as research sales  in their day to day business operations, new products and markets initiatives
- Articulate and maintain the standards of conduct required by the laws, regulations and policies governing these business operations in the AEJ region in order to assist the firm in avoiding economic, regulatory/legal liability and reputational risk
- Devise and implement strategic solutions with senior compliance management and other control side departments to support the 6 pillars of the team’s function
- Handle regulatory and internal investigations/audits and escalate significant or unresolved issues to senior compliance management and the business units when necessary
- Review and analyze daily surveillance reports of sales and trading activities
- Conduct regular compliance training for business unit professionals and supervisors

BASIC EXPERIENCE / SKILLS:
- At least 4 years of compliance, legal, audit or other control function experience covering Equities sales and trading
- Effective communication and project management skills
- Strong analytical skills and ability to exercise judgment and manage execution under pressure
Inquisitive and proactive in identifying risks and proposing solutions

PREFERRED  SKILLS
- Working knowledge in Singapore and AEJ regional securities regulations, exchange rules on listed securities, futures and derivatives

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