Equities Compliance – Investment Bank – Singapore recruitment
Responsibilities:
- Coverage includes sales trading businesses and research sales in daily business operations, new products and markets initiatives
- Maintain the standards of conduct required by the laws, regulations and policies in the AEJ region to manage the firm's economic, regulatory/legal liability and reputational risk
- Handle regulatory and internal investigations/audits and escalate significant or unresolvedissues 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
Requirements:
- At least 4 years of compliance, legal, audit or other control function experience covering equities sales and trading
- Working knowledge in Singapore and AEJ regional securities regulations, exchange rules on listed securities, futures and derivatives
Taylor Root Singapore
Taylor Root - a member of The SR Group
EA Licence No. 10C4100
July 21, 2012
• Tags: Equities careers in the Singapore, Equities Compliance, Investment Bank, Singapore recruitment • Posted in: Financial