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Our Client is a highly successful global electronic trading platform currently seeking a Head of Asia compliance to join their Singapore office to aid APAC expansion. The role is ideal for someone looking to broaden their skillset from a larger bank (within a Fixed income regulatory advisory capacity or a similar electronic trading platform) and develop their career. Coverage is across Singapore, Hong Kong and the wider Asia region.
In this role you will be responsible for:
Oversight and advisory responsibility for the Asia business
Key interface with regional regulators, ie MAS
Supporting the local CEO to ensure they are aware of all regulatory and reputational risks that affect the Asia business
Ensure all staff have adequate compliance training
Conduct regulatory risk-based reviews
Assist regulatory inspections
Advise business on trade/settlement, due diligence enquiries
Oversea and use automated surveillance tools
Oversea KYC and AML reviews
Monitor and review local regulations and changes that may affect the business
Advise the business on marketing and business solicitation
Act as local DPO
As the chosen candidate, you will:
Have a thorough understanding of Fixed Income (in particular Credit) products
Possess knowledge of local and regional regulation and the ability to provide practical and immediate interpretation of regulations in the context of the firm's business activities. Previous regional oversight/exposure too electronic trading platforms would be highly desirable
Be an excellent team player, prepared to take the initiative, assist colleagues, and able to liaise with management at the most senior levels. Must have a collaborative approach to achieving goals, actively share information, be able to deliver solutions and understand the requisite balance between self-sufficiency and escalating issues.
Have pragmatism and the ability, when under pressure, to 'think on your feet', balancing commercial objectives with legal, regulatory and ethical considerations to arrive at sound judgements and decisions.
An ability to build and sustain strong relationship with personnel and colleagues in the Global Legal & Compliance team is essential.
The culture would be described as 'collegiate' so a mix of self-motivation, confidence, tenacity, diplomacy and a good sense of humour are key personal attributes to be successful in this position.
If you are interested in finding out more about this role please contact Richard Aldridge on +65 9641 5712 or firstname.lastname@example.org.
EA Registration Number R1545180 | Licence Number – 16S8139