SG Compliance - Contract

Hays Malaysia
Singapore, Singapore
S$5k - S$8k
26 Sep 2022
01 Oct 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Your new company

The company is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.

Your new role

The Compliance professional will report to the Head of Compliance for South East Asia. They will be responsible for assisting in managing the Firm's regulatory risk and helping to preserve the Firm's franchise through ensuring and monitoring Business and Infrastructure Units' compliance with laws, regulations, rules and internal policies and procedures.

Business units covered include:
  • Fixed Income Division including Commodities.
  • Institutional Equity Division.
  • Investment Banking Division and Global Capital Markets
  • Equity Research
  • Real Estate Investing; and
  • Operations

Primary Responsibilities:
  • Advisory: Provide advice either independently or with other team members (including regional Sales and Trading Compliance team in Hong Kong) on compliance issues across all businesses in Singapore and the region. These may include major business initiatives and/or bespoke transactions and will often be product specific.
  • Dealing with regulatory requests: work on regulatory inspections and internal/external audits, as well as any ad-hoc regulatory inquiries
  • Firm Policies: Consistently review internal policies to ensure alignment to changing rules and regulations.
  • Market Updates: Assist in monitoring regulatory and policy changes, analysing their impact and communicating such changes to relevant staff.
  • Reporting: Help to prepare and submit regular and ad-hoc regulatory reports, and/or reports of findings and following up on issues identified.
  • Training: Provide training to both professionals and support staff of the Business and Infrastructure Units, as required.

What you'll need to succeed
  • Open for Singaporean/PR
  • At least 4 years of relevant work experience
  • Strong understanding of regulatory rules and policies.
  • Good knowledge of Markets Trading and Sales practices.
  • Excellent written and spoken English skills.
  • Possess market acumen to adjust and adapt to the changing regulatory landscape.

What you'll get in return
  • A company that provides a superior foundation for building a professional career - a place for people to learn, to achieve and grow
  • A philosophy that balances personal lifestyles, perspectives and needs is an important part of the culture.
  • Work with a team that share a common set of values rooted in integrity, excellence and strong team ethic

EA License Number: 07C3924 | Company Registration No: 200609504D
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