VP Compliance, Global US Investment Bank recruitment
The Company
Our client, a global US Bank which is one of the world’s largest financial institutions is presently seeking a compliance professional to join their collegiate and thriving regional compliance team based in Singapore covering the South Asia region.
The Position
• Providing compliance and regulatory advice and services primarily to the Markets business, both domestically in Singapore and across all South Asia countries.
• Liaising closely with Business Heads and Business Unit Manager in those departments in establishing priorities and carrying out tasks.
• Maintain strong relationships with key regulators and exchanges: MAS, SGX and others.
• Develop close working relationships with the business to engender a culture of Compliance within the business;
• Aid in the production and review of compliance policies and procedures;
• Develop and execute compliance training programs for the business;
• Provide timely advice to Global Markets staff with Compliance Management oversight on legislative and regulatory obligations of the activities conducted within the business;
• Review documentation entered into by the business and review new products proposals of the business;
• Liaise with applicable regulators, exchanges and industry bodies;
• Identify law reform proposals impacting the business;
• Assist, as required, in internal investigations and/or responses to regulatory enquiries and audits/auditor enquiries;
• Identify areas of non compliance and recommendations for changes (if any) or enhancements to overall business Compliance framework;
• Analyse and help answer all escalations arising from the monitoring and surveillance programs relevant to the activities of the Global Markets business and, if necessary, supplement with ad hoc desk reviews, maintaining detailed records of findings and action items;
• Identify priorities and issues requiring escalation;
• Escalate serious issues of non-compliance to Compliance and line management, maintaining a complete record of incidents, investigation and outcomes; and
The Candidate
Technical/Specialist skills/competencies
• Working knowledge of relevant Singapore legislation, MAS Notices and guidance
• Working knowledge of the SGX Rules
¨Personal Attributes/Interpersonal skills
• Ability to work independently, initiate actions and complete tasks with limited direction
• Ability to work effectively as a team member liaising closely with other Compliance Managers
• Sound verbal and written communication skills
• Demonstrated ability to work closely and co operatively with Compliance Manager and businesses
• Strong planning and organisation skills
• Demonstrated ability to implement programs/undertake tasks within agreed timeframes
• Ability to manage multiple tasks at the same time
Interested candidates can either forward their CVs in word format and quote reference code NG/37129/JL to compliance@talent2.com.sg or contact, Nathan Garside, in our Singapore Office, at +65 6511 8526 for a preliminary discussion.