VP Sales & Trading Advisory Compliance (8+) – Inv. Bank – SG recruitment
Scope of role:
- To provide advice either independently or with other team members on regulatory compliance issues
- To review and lead new business initiatives from a local regulatory, best practice and Firm perspective.
- Review manuals and Compliance Notices to ensure they are properly revised or updated when necessary, and draft new manuals, Compliance Notices, policies and procedures in light of regulatory or business changes.
- Provide advice to the desks to identify risk areas or lead independent reviews and monitoring of business practice.
- Help develop and manage the Firm's contact and relationship with its regulators, ensuring that communications between the Firm and its regulators are open and constructive.
- Develop training materials and provide training to Sales Trading staff
Requirements
- In-depth knowledge of the regulatory and compliance requirements and product experience.
- At least 8 years of relevant compliance experience with a financial institution covering sales and trading activities, or with a financial regulator.
To comply with local laws, our Singapore office EA Licence No is: 10C4100.
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.
May 25, 2012
• Tags: Commodities careers in the Singapore, Inv Bank, SG) recruitment, VP Sales & Trading Advisory Compliance (8+) • Posted in: Financial