VP/DIR, FICC Compliance, Global Investment Bank
Reporting to the regional head of compliance in the region, your team will be responsible for -
- Provide compliance support to the business and assist with regulatory and compliance issues relating to FICC business activities;
- Lead the compliance review of new transactions and new products;
- Develop and maintain compliance plans, policies and procedures
- Liaise with the relevant regulator and handling regulatory inquiries
- Manage the team in the monitoring and surveillance activities;
- Carry out ongoing assessment of the compliance framework operating within the business and ensure adequate controls are established;
- Oversee the monitoring, reporting and escalation of compliance issues;
Degree qualified, you should have at least 8 - 10 years of relevant sales trading compliance experience, particularly covering fixed income or commodities. You whould have demonstrated success of managing a small team covering the region. You should be well versed with regulatory issues and enjoy dealing with the business on a regular basis.
Candidates with APAC sales trading compliance in fixed income strongly preferred as this candidate will be required to hit the ground running.
Singapore Employment Agency Licence No: 07C2942
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