Job Details

Competitive Salary
Job Type
Belinda Lim
Contact email
Email Belinda
Contact phone
+65 66920700
about 1 month ago
As the Director, Head of Capital Markets Compliance, you will manage a small advisory team and be responsible for protecting the Bank’s brand and enable achievement of business goals through an integrated compliance culture and program across the enterprise by aligning regulatory priorities with the Business, creating and maintaining an effective relationship with regulators to enable reputation and regulatory issues to be appropriately managed; establishing and maintaining a strong, effective control environment to provide a framework; and identifying and communicating compliance risks inherent in the business to senior management and the business.

Job Scope:
  • To provide updates and escalate to Regional Head of Compliance, APAC areas of concern on compliance and regulatory matters relating to Capital Markets Business
  • To provide compliance advice and support to Capital Markets in Singapore (Fixed Income and Currencies sales and trading, Global Equity Derivatives, TMS), Global Investment Banking (GIB) business in Hong Kong and address any queries that the Businesses may have with respect to their obligations under any relevant rules and regulations, codes and guidelines issued by the regulatory authorities
  • To prepare the relevant compliance policies and procedures for the business
  • To review regulatory rule changes issued by local regulators, exchanges and other relevant bodies and amend procedures where necessary
  • To liaise where necessary with the relevant regulatory bodies and exchanges in relation to any queries raised by such bodies or to request guidance on any matters
  • Participate as required in internal investigations into potential breaches of regulatory requirements or firm policy
  • To assist in any new initiatives undertaken by businesses by advising on any applicable regulatory requirements which may have impact on such an initiative
  • To provide pro-active, timely advice on the relevant regulatory and firm policy requirements in respect of ad hoc queries, specific transactions, new product initiatives etc.
  • To promote observance of high standards of business conduct and ethical standards
  • To update the Regulatory Compliance Management tools and Issue Management when required
  • To provide training to staff at all levels on the application of the relevant regulations and the standards expected
  • Good knowledge of the local regulatory framework (MAS) including cross border implications; knowledge of HKMA/SFC in relation to GIB preferred
  • Hands on compliance advisory experience in Sales & Trading on FICC and Equity derivatives. Experience on cross border acquisitions ideal but not necessary
  • Good organisational and communication skills
  • Ability to work well in a team and build relationships at all levels of the bank
  • Ability to conduct duties expediently with the minimum of supervision
  • Aptitude for accuracy, attention to detail, and hands-on approach
  • Good computer literacy, knowledge of Word, Excel and Outlook essential
  • Relevant degree holder
Reg No.R21101957
BeathChapman Pte Ltd
Licence no. 16S8112