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The candidate will be mainly responsible for FXLM, Rates, G10 products, Asset & Liability Management Treasury and Prime Services & futures business (with FXLM and rates nexus). Provision of compliance advice will be the primary role, and in addition, there are surveillance tasks the incumbent will undertake. (A) Advisory 1. Advising the business on compliance and regulatory issues. For example:
providing compliance comments for new activities (termed NACs/TACs)
providing compliance advice on all front office ad hoc and BAU business requests Compliance advice pertains to advising on:
compliance with regulations in SEA region,
Internal policies; and
Global Regulations to the extent it impacts APAC such as the EU Markets Abuse Regulations (MAR), Dodd Frank Act, Volcker Rule, French Banking Law. 2. Liaise with counterparts in EMEA and US to facilitate APAC business compliance with Global regulations. 3. Be the compliance representative of business projects which has a FXLM, Rates and G10 nexus. [For example, Cross Border Marketing project, Cross Border Booking project] 4. Work with regulatory compliance and business functions on new and upcoming regulatory changes, MAS Consultation Papers. 5. Work with Singapore regulatory compliance team in advising business on SG licensing matters. 6. Coordination of completion of all MAS and SGX questionnaires for Global Markets which entails coordinating for the right answers from many stakeholders. 7. Work with Local Compliance in advising business on regulations (such as currency controls and licensing requirements) in APAC jurisdictions. This will entail managing the communications between business and local compliance in arriving at a balanced and mutually satisfactory outcome. (B) Surveillance/ Controls 1. Work with Surveillance team on all the background review/surveillance work each time a regulatory inquiry of transactions occurs. The includes inquiries from exchanges (e.g. SGX/CME) or regulators (e.g. CFTC, MAS) 2. Work with Surveillance team on the conduct of trade surveillance (in FX LM & G10), and electronic communications surveillance on FXLM,, Rates & G10. . 3 Advise Permanent Control team on how to go about conducting compliance reviews and controls testing of business. (C) Others 1. The Candidate may be asked to perform similar tasks above on other products such as Credit, Primary Markets, Equities, Prime Services and Futures and Commodities. 2. Take the lead in investigations on compliance related matters (such as market conduct issues or code of conduct issues such as confidentiality breach, data leakage tec.)
Desired Skills 1. Must advise the FXLM and rates business promptly on queries about trading conduct issues, For example, best practices in respect of managing client orders and client request for quotes etc. As such, direct compliance advisory experience in the FXLM and rates business is a pre-requisite. 2. Must have experience in working for the global banks who has GM business which are subject to EMEA and US regulations. · A recognized degree in Banking/Finance/Accountancy or related qualifications. · At least 10 years of experience in compliance · Strong written and communication skills.
Please send your updated CV Immediately to Jennifer at firstname.lastname@example.org for application and understand more details. Only shortlisted candidates will be notified.
EA Reg no: R1110174 EA Licence No.: 11C4684 Company Reg. No.: 201131609D