AVP, Regulatory & Internal Compliance with global investment firm

• Familiarity with operational requirements for regulatory filings in Singapore and other jurisdictions.
• Experience in managing MNPI or in a control room environment will be viewed favorably.
• Good understanding of financial products would be advantageous, but minimally with equity and equity derivatives.

Our client is a renowned FI with an international presence. It is looking to fill the following role

The Legal & Regulatory team is looking to hire a compliance professional to join their regulatory and compliance team based in Singapore (which is part of the firm's Legal and Regulatory Department). The candidate is expected to collaborate with colleagues in the legal and regulatory team and other internal partners (e.g. Operations, Internal Audit, Technology and Investment Group) to manage a best in class shareholding monitoring program (the Program).

Responsibilities:

• Leading the Program by applying a strategic lens to the function and implementing capabilities and review processes to allow for investment flexibility while ensuring regulatory compliance.
• Identifying and communicating the implication of global regulations to the Program and ensuring the program complies with these regulations.
• Representing Regulatory and Compliance in multi-team solutioning for process and control modifications within the Program.
• Managing the Program through all applicable policies and standards (specifically but not limited to the analysis of keys controls, UAT of future enhancements and enhancement tasks).
• Ensuring that required control standards of the Program are being met, by continuous monitoring of risk and control indicators.
• Highlighting and escalating (as required) where control standards are not being met, including highlighting control design deficiencies or gaps.
• Reviewing, designing and enhancing key metrics and KPIs relevant to numerous regulations and assist with reporting to key stakeholders and senior management.

Requirements:

• Degree holder from a reputable university, preferably with an outstanding academic record. A legal background is not required
• Prior experience in a similar role (at least 5 years) within a financial institution or investment firm covering compliance or program management (in the compliance/regulatory team)
• Familiarity with operational requirements for regulatory filings in Singapore and other jurisdictions.
• Experience in managing MNPI or in a control room environment will be viewed favorably.
• Good understanding of financial products would be advantageous, but minimally with equity and equity derivatives.
• Excellent interpersonal skills and the ability to work collaboratively in a team-oriented environment.

To apply, pl send your cv in word doc to resume@cap-cg.com . Pl also include details on your current salary, expected salary and notice period in your cv.

We regret to inform that only shortlisted candidates will be notified.

Posted by:
CAP Consulting (EA license: 14C7175)
Caroline Poh (EA Registration: R1105649)

Date ad is posted: 20 May 2022