Compliance VP/Director – Markets (Sales&Trading) – Bulge Bracket – Regional Exposure – Team Leader recruitment
Based in Singapore, you will reports to regional head and join a team of ten compliance officers.You will provide advice on markets products of Equity, Fixed Income, Commodity, Futures, Investment Banking and Research. You will be responsible for the central compliance functions, like the licensing, surveillance and desk review. You will also work closely with the sale trading team to make sure all the activities are in compliance.You will have the opportunity to manage a team of 3 compliance officers and work closely with the regional compliance leader. You will also operate as the deputy head Read more […]
Compliance VP – Threshold Reporting recruitment
The team is responsible for implementing controls and processes to ensure compliance with regulations related to trading and investments, including pre- and post-trade compliance, mutual fund monitoring and reporting; global syndicate offering review; ERISA monitoring, and regulatory threshold monitoring and reporting.This group performs one of the core functions within the company and requires strong communication skills and analytical approach. Duties will include:• Identifying and reporting holdings that have reached or approaching prescribed thresholds • Making necessary disclosures in Read more […]
Compliance VP, Private Banking recruitment
Responsibilites:Providing advice on compliance issues and potential impact of regulatory trends and developmentsImplementating the new regulatory requirements and provide amendments to compliance programDevelop compliance testing reportingIdentifying potiential compliance for compliance checks and control enhancementsProviding business support to policies and procedures for operationsProviding AML compliance advisory support and training for the BankFollow up on all compliance-related, including AML findings etcRequirements:Possess knowledge in Singapore banking laws (including BA, SFA and FAA), Read more […]