AVP/VP, Control Room

Employer
GIC Private Limited
Location
Singapore, Singapore
Salary
Competitive
Posted
09 Aug 2022
Closes
23 Aug 2022
Ref
16306215
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Legal and Compliance Department

The Legal and Compliance Department (LCD) manages the legal, regulatory and compliance risks for GIC, and partners with the business to ensure that legal, regulatory and compliance issues and risks are identified, assessed and dealt with in a timely and efficient manner.

We are looking for a highly motivated, high caliber candidate to join our Control Room team as a Vice President/Assistant Vice President.

Responsibilities

  • Advise on GIC's Chinese Wall Policy, Expert Networks Policy, Research & Alternative Data Providers Policy, Personal Investments Policy, and applicable laws and regulations on insider trading and market abuse
  • Perform all aspects of the daily operations of the Control Room, including but not limited to reviewing insider lists, wall crossings, advising on the assessment of material non-public information, imposing dealing restrictions and approving requests for personal investments by staff
  • Work closely with the Technology Group and our vendors to enhance our existing systems to ensure that our controls remain robust and effective
  • Monitor and identify changes in GIC's investment/trading and operational activities and global regulatory developments that warrant an update to existing policies or the development of new processes to ensure that GIC's Chinese Wall and Personal Investments Policies remain updated and effective
  • Respond to regulatory inquiries, including working with the Technology Group and Asset Departments to retrieve information, and with external legal counsel on preparing the responses to regulators
  • Conduct periodic policy and process reviews and consultation with stakeholders, and present proposed policy changes to GIC's Group Executive Committee and/or Group Risk Committee
  • Conduct training for stakeholders
  • Advise on other general compliance policies, which includes conflicts of interest, gifts & entertainment and external personal appointments/activities. Review staff's declarations on conflicts of interest, gifts & entertainment, and external personal appointments/activities
  • Assist in Compliance Risk Assessments, and implement additional Compliance processes, where required
  • Track, analyze and report management information and key Compliance risk metrics, and identify areas for improvement to existing policies, processes and controls
  • Conduct ex-post monitoring and communications surveillance on selected market abuse scenarios. Investigate and enforce any policy violations that are detected

Requirements

  • More than 10 years of relevant working experience in the financial services industry, preferably in a Control Room function, or with a securities exchange or securities regulator
  • An interest in and awareness of the global regulatory and enforcement landscape and an understanding of securities laws and regulations
  • Strong understanding of information control and conflicts of interest issues
  • Ability to interact with senior front office personnel and confidence to uphold compliance positions under pressure
  • Good knowledge about financial markets and experience in at least one or more asset classes such as Equities, Fixed Income, Derivatives, Commodities and FX
  • Attention to details and able to manage large data sets and detect patterns / inconsistencies
  • Strong analytical, problem-solving, and investigative skills
  • Ability to multitask, perform processes via systems and handle multiple compliance reviews and projects at the same time and meet deadlines
  • Familiarity with using platforms by market data vendors (Bloomberg, Reuters, etc.)

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