The role will support the Regional Head of Compliance across a range of responsibilities including:
- Providing advice and assistance in resolving compliance and regulatory issues arising from sales and trading activities.
- Assisting in the response to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating, recommending the initiation of, and/or carrying out investigative procedures
- Providing training to front office personnel on general regulatory matters such as the code of market conduct, sales practices as well as on other ad hoc regulatory matters.
- Develop close working relationships with relevant business personnel and be recognised as a provider of sound regulatory advice
- Support the business in meeting its obligations on the prevention of money laundering
- Play your part in analysing new regulatory and product initiatives
- Building and maintaining strong relationships with the Front Office desks, Operations etc and with colleagues within compliance
- Create and update training collaterals
Experience, Qualifications & Skills
- Background from either investment banking, IDB, securities firm
- 12+ years in financial services
- 7+ years experience within a compliance advisory role at VP/SVP level - strong experience of providing technical regulatory advice on new product launches, licensing requirements, marketing/sales practices/communications & other operational regulatory matters etc
- Extensive working experience of swaps/futures contracts, exchange requirements and NGU (Matched Principle a plus) and the relevant regulatory requirements
- Experience in Singapore market, including engaging with regulators e.g. MAS/IE Singapore
- Experience in a regional capacity, dealing with other jurisdictions e.g. Thailand, Indonesia, India
- Business relevant degree e.g. law/accountancy
- Big 4 experience a plus
- Ex regulator/Ex Exchange contract a plus
- Qualified lawyer PQE a plus
If you would like further details on this position, please contact me on the details provided.
Barclay Simpson Associates Pte Ltd
ACRA Company Number: 201117804Z
EAA Licence Number: 11S4540
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