AVP / VP Compliance, Global Markets

Employer
Charterhouse Partnership Singapore, EA Licence No: 16S8066
Location
Singapore, Singapore
Salary
Highly Competitive
Posted
12 Jan 2023
Closes
11 Feb 2023
Ref
17586947
Job Function
Banking
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
RESPONSIBILITIES:

The incumbent will assist in advising the business on compliance and regulatory issues, you will also work closely with the business functions on new and upcoming regulatory changes and interpretation of regulations.

You will perform risk assessments and coordinate resources to perform the 2LOD role for the perimeter and handle local compliance issues, incident, and breaches in conjunction with various internal parties.

You should take ownership in reviewing of marketing documents, conflicts identification and mitigations, assist in compliance desk reviews, follow through of trade surveillance alerts and assist stakeholders and compliance team to keep abreast of regulatory developments and in the interpretation of regulatory changes and their likely impact on the business and its processes, procedures, controls and products (gap analysis).

REQUIREMENTS:

To qualify for the role, you should have
  • Min. 6 years of compliance experience with strong experience in dealing with Global Markets related Compliance issues and strong understanding of the rates and FX business
  • Good knowledge of the Singapore laws and regulations (e.g. SFA, FAA, MAS notices, etc)
  • Possess good communication and social skills to be a team player and work with all levels


Please contact Xuan Kwok at +65 6950 0354 or XuanK@charterhouse.com.sg for a confidential discussion

EA License no: 16S8066 | Reg no.: R1433611

Only successful candidates will be notified.